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.
- M••••• S•••••• wirehouse currentsince Mar 30, 2021 · Columbus, Oh
- N••••••••• S••••••••• L•• no RAUMNov 11, 2019 to Mar 19, 2021 · Grandview Heights, Oh
- M••••• S•••••• wirehouseFeb 7, 2014 to Oct 7, 2019 · Columbus, Oh
- P•••••••• S••••••••• I••• BD affiliatedAug 27, 2012 to Feb 17, 2014 · Columbus, Oh
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 14, 2009 to Jun 29, 2012 · Dublin, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 24, 2009 · Columbus, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Columbus, Oh
- L••• M•••• W••• W•••••• I••••••••• unclassifiedNov 19, 2003 to Feb 21, 2006 · Columbus, Oh
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2001 to Dec 12, 2003 · Columbus, Oh
- N••••••••• S••••••••• L•• to M••••• S••••••left Mar 19, 2021, registered Mar 30, 2021 (11 days) · Other
- M••••• S•••••• to N••••••••• S••••••••• L••left Oct 7, 2019, registered Nov 11, 2019 (35 days) · Other
- P•••••••• S••••••••• I••• to M••••• S••••••left Feb 17, 2014, registered Feb 7, 2014 (-10 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to P•••••••• S••••••••• I•••left Jun 29, 2012, registered Aug 27, 2012 (59 days) · Other
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 24, 2009, registered Sep 14, 2009 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to L••• M•••• W••• W•••••• I•••••••••left Dec 12, 2003, registered Nov 19, 2003 (-23 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address