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•• BD affiliated currentsince May 1, 2020 · Lewis Center, Oh
- A•••• P•••• A••••••• formerAug 22, 2019 to May 1, 2020 · Columbus, Oh
- E•• F•••••••• A••••••• independent RIAMay 31, 2016 to Aug 23, 2019 · Columbus, Oh
- E••••• J•••• national BDSep 7, 2007 to Oct 25, 2007 · Lewis Center, Oh
- A•••• P•••• A••••••• to S••left May 1, 2020, registered May 1, 2020 (0 days) · Affiliated broker-dealer or bank to another
- E•• F•••••••• A••••••• to A•••• P•••• A•••••••left Aug 23, 2019, registered Aug 22, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to E•• F•••••••• A•••••••left Oct 25, 2007, registered May 31, 2016 (3141 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address