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••••••• J• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 30, 2015 · Casstown, Oh
- C••••••••• F•••••••• N•••••• national BDMar 14, 2012 to Jan 30, 2015 · Dayton, Oh
- L•• F•••••••• L•• BD affiliatedSep 15, 2011 to Apr 4, 2012 · Dayton, Oh
- U••• B•••••• I••••••••• I••• formerMar 22, 2011 to Sep 15, 2011 · Beavercreek, Oh
- D••• I••••••••• mixed wealthJul 20, 2010 to Mar 18, 2011 · Beavercreek, Oh
- D••• F•••••••• S••••••• independent RIAJul 20, 2010 to Mar 18, 2011 · Beavercreek, Oh
- U•• F•••••••• S••••••• I••• wirehouseOct 30, 2006 to Mar 3, 2010 · Miamisburg, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedMay 26, 2006 to Sep 29, 2006 · Dayton, Oh
- E•••••••• A•••••••• L•• national BDJan 24, 2006 to Apr 11, 2006 · Cincinnati, Oh
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · Other
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Apr 4, 2012, registered Mar 14, 2012 (-21 days) · Other
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Sep 15, 2011, registered Sep 15, 2011 (0 days) · Other
- D••• I••••••••• to U••• B•••••• I••••••••• I•••left Mar 18, 2011, registered Mar 22, 2011 (4 days) · Other
- D••• F•••••••• S••••••• to D••• I•••••••••left Mar 18, 2011, registered Jul 20, 2010 (-241 days) · Other
- U•• F•••••••• S••••••• I••• to D••• F•••••••• S•••••••left Mar 3, 2010, registered Jul 20, 2010 (139 days) · Other
- H••••••••• F•••••••• A••••••• to U•• F•••••••• S••••••• I•••left Sep 29, 2006, registered Oct 30, 2006 (31 days) · Other
- E•••••••• A•••••••• L•• to H••••••••• F•••••••• A•••••••left Apr 11, 2006, registered May 26, 2006 (45 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address