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•••••• L••• H•••
- O•••• W•••••• I••• BD affiliated currentsince Oct 14, 2021 · Findlay, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedMay 12, 2015 to Oct 18, 2021 · Findlay, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 16, 2015 · Lima, Oh
- C•••• I••••••••• S••••••• C•••• formerDec 13, 2007 to Oct 1, 2012 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2005 to Mar 20, 2006 · Columbus, Oh
- H••••••••• F•••••••• A••••••• to O•••• W•••••• I•••left Oct 18, 2021, registered Oct 14, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Apr 16, 2015, registered May 12, 2015 (26 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Mar 20, 2006, registered Dec 13, 2007 (633 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address