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.
C•••••• R••••• G•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Columbus, Oh
- C•••• I••••••••• S••••••• C•••• formerNov 19, 2010 to Oct 1, 2012 · Columbus, Oh
- U••• B•••••• I••••••••• I••• formerJun 28, 2007 to Sep 21, 2009 · Hilliard, Oh
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 24, 2006 to Apr 20, 2007 · Hilliard, Oh
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 1, 2006 · Hilliard, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedNov 12, 2002 to Jul 6, 2005 · Hilliard, Oh
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left Sep 21, 2009, registered Nov 19, 2010 (424 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U••• B•••••• I••••••••• I•••left Apr 20, 2007, registered Jun 28, 2007 (69 days) · Other
- C•••• I••••••••• S••••••• C•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 1, 2006, registered Mar 24, 2006 (23 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address