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.
T•• A• B•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 12, 2018 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedAug 18, 2015 to Nov 7, 2016 · Columbus, Oh
- B••• A•••••••• L•• formerMay 1, 2008 to Mar 6, 2009 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 8, 2001 to Aug 7, 2007 · Dublin, Oh
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Nov 7, 2016, registered Oct 12, 2018 (704 days) · Other
- B••• A•••••••• L•• to P•• W••••• M•••••••••left Mar 6, 2009, registered Aug 18, 2015 (2356 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• A•••••••• L••left Aug 7, 2007, registered May 1, 2008 (268 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address