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.
W•••••• J•••• S••••••••
- A••••••• F••••••••• L••• BD affiliated currentsince May 19, 2022 · Folsom, Ca
- L••••••••• F•••••••• C••••••• I••• unclassifiedNov 27, 2018 to May 6, 2022 · Lebanon, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 7, 2012 to Dec 8, 2014 · Dayton, Oh
- C••••••••• A•••••••• I•• formerSep 19, 2007 to May 31, 2012 · C•••••••••, Oh
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 10, 2005 to Aug 31, 2007 · Springfield, Oh
- L••••••••• F•••••••• C••••••• I••• to A••••••• F••••••••• L•••left May 6, 2022, registered May 19, 2022 (13 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L••••••••• F•••••••• C••••••• I•••left Dec 8, 2014, registered Nov 27, 2018 (1450 days) · Other
- C••••••••• A•••••••• I•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 31, 2012, registered Jun 7, 2012 (7 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C••••••••• A•••••••• I••left Aug 31, 2007, registered Sep 19, 2007 (19 days) · Other
- W•••••• J•••• S•••••••• left L••••••••• F•••••••• C••••••• I••• for A••••••• F••••••••• L••• (registered 2022-05-19)May 6, 2022 · Advisor changed firm · fact
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