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.
E••• C•••••••• S••••
- C•••••• A••••••• BD affiliated currentsince Jan 16, 2019 · West Chester, Oh
- L•••••• I••••••••• independent RIA currentsince Jun 9, 2017 · Crystal Lake, Il
- L••••• A•••••••• L•• formerMar 30, 2011 to Oct 4, 2019 · Maineville, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 7, 2001 to Dec 7, 2010 · Columbus, Oh
- L••••• A•••••••• L•• to L•••••• I•••••••••left Oct 4, 2019, registered Jun 9, 2017 (-847 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to L••••• A•••••••• L••left Dec 7, 2010, registered Mar 30, 2011 (113 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address