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•••• B•••• A•••••••
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Oct 1, 2021 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Oct 30, 2020 · Cleveland, Oh
- N•••••• I••••••••• I••• unclassifiedJul 18, 2005 to Nov 13, 2009 · Cleveland, Oh
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Oct 30, 2020, registered Oct 1, 2021 (336 days) · Affiliated broker-dealer or bank to another
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address