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.
J•••• A••••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 2, 2018 · Bexley, Oh
- W•••••• • R••• formerMay 4, 2015 to Oct 5, 2018 · Dublin, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 28, 2013 to May 1, 2015 · Toledo, Oh
- E•••• S••••••••• L•• BD affiliatedJan 2, 2013 to Feb 19, 2013 · Maumee, Oh
- W•••••• • R••• to L•• F•••••••• L••left Oct 5, 2018, registered Oct 2, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to W•••••• • R•••left May 1, 2015, registered May 4, 2015 (3 days) · Other
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 19, 2013, registered Jun 28, 2013 (129 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address