RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
S••••• M•••••• D•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 5, 2020 · Dayton, Oh
- B••••• G••••• A•••• M••••••••• BD affiliatedNov 16, 2006 to Oct 12, 2020 · Dayton, Oh
- C••• F•••••••• S•••••••• L••• formerJul 2, 2003 to Oct 6, 2006 · Centerville, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 1999 to Jun 30, 2003 · Dayton, Oh
- B••••• G••••• A•••• M••••••••• to L•• F•••••••• L••left Oct 12, 2020, registered Oct 5, 2020 (-7 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to B••••• G••••• A•••• M•••••••••left Oct 6, 2006, registered Nov 16, 2006 (41 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Jun 30, 2003, registered Jul 2, 2003 (2 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address