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.
A••••• D••••• B•••••••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Sep 12, 2011 · Wooster, Oh
- H••••• W••••• M••••••••• L•• former currentsince Aug 28, 2007 · Berlin, Oh
- 1•• G••••• A••••••• I•• formerMar 30, 2007 to Jul 11, 2007 · Wooster, Oh
- M••••• • M•••• F•••••••• S•••••••• L••• unclassifiedMar 23, 2007 to Jul 26, 2007 · Wooster, Ca
- O• I••••••••• M••••••••• C• BD affiliatedJan 15, 2004 to Dec 31, 2005 · Wooster, Oh
- O•••• F•• I••• formerMar 29, 2001 to Apr 11, 2003 · Wooster, Oh
- M••••• • M•••• F•••••••• S•••••••• L••• to 1•• G••••• A••••••• I••left Jul 26, 2007, registered Mar 30, 2007 (-118 days) · Other
- 1•• G••••• A••••••• I•• to H••••• W••••• M••••••••• L••left Jul 11, 2007, registered Aug 28, 2007 (48 days) · Other
- O• I••••••••• M••••••••• C• to M••••• • M•••• F•••••••• S•••••••• L•••left Dec 31, 2005, registered Mar 23, 2007 (447 days) · Other
- O•••• F•• I••• to O• I••••••••• M••••••••• C•left Apr 11, 2003, registered Jan 15, 2004 (279 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address