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.
J•••• D•••••• D•••••
- S••••••• W••••• M••••••••• L•• independent RIA currentsince Apr 10, 2023 · Purchase, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Apr 25, 2014 · Dublin, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 6, 2009 to Oct 5, 2009 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• to S••••••• W••••• M••••••••• L••left Apr 25, 2014, registered Apr 10, 2023 (3272 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address