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.
M•••• C•••
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Jul 14, 2021 · Saginaw, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedSep 10, 2014 to Jul 8, 2021 · Oregon, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedAug 7, 2007 to Sep 12, 2014 · Maumee, Oh
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 13, 2005 to Aug 1, 2007 · Monroeville, Pa
- F•••• T•••• S••••••••• I••• to H••••••••• F•••••••• A•••••••left Jul 8, 2021, registered Jul 14, 2021 (6 days) · Affiliated broker-dealer or bank to another
- H••••••••• F•••••••• A••••••• to F•••• T•••• S••••••••• I•••left Sep 12, 2014, registered Sep 10, 2014 (-2 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to H••••••••• F•••••••• A•••••••left Aug 1, 2007, registered Aug 7, 2007 (6 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address