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.
R••••• P•••• P••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Dec 17, 2018 · Worthington, Oh
- A•••••••• P•••• I••• formerSep 22, 2016 to Jan 9, 2019 · Columbus, Oh
- L•• F•••••••• L•• BD affiliatedDec 11, 2013 to Jan 28, 2019 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 7, 2005 to Dec 12, 2013 · Columbus, Oh
- L•• F•••••••• L•• to A•••••••• P•••• I•••left Jan 28, 2019, registered Sep 22, 2016 (-858 days) · Other
- A•••••••• P•••• I••• to S•••••• W••••• P•••••••• L••left Jan 9, 2019, registered Dec 17, 2018 (-23 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Dec 12, 2013, registered Dec 11, 2013 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address