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.
S•••••• A••••• Y•••••••
- R•••••••• R•••••••• L•• mixed wealth currentsince May 15, 2012 · Independence, Oh
- O•••••• W••••• P•••••••• L•• state registeredSep 9, 2013 to Dec 31, 2017 · Bryan, Oh
- I••••••••• F•••••••• P••••••• BD affiliatedSep 28, 2011 to May 14, 2012 · Independence, Oh
- M•• A••••••• F•••••••• M••••••••• I••• formerDec 2, 2010 to Sep 26, 2011 · Independence, Oh
- N•• A•••••••• I••• unclassifiedDec 11, 2007 to Nov 30, 2010 · Bryan, Oh
- O•••••• W••••• P•••••••• L•• to no registered destinationleft Dec 31, 2017 · Departure, no registered destination
- I••••••••• F•••••••• P••••••• to R•••••••• R•••••••• L••left May 14, 2012, registered May 15, 2012 (1 days) · Other
- M•• A••••••• F•••••••• M••••••••• I••• to I••••••••• F•••••••• P•••••••left Sep 26, 2011, registered Sep 28, 2011 (2 days) · Other
- N•• A•••••••• I••• to M•• A••••••• F•••••••• M••••••••• I•••left Nov 30, 2010, registered Dec 2, 2010 (2 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address