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•••• A• P•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Aug 11, 2022 · Washington Court House, Oh
- 9••• W••••• M••••••••• L•• formerNov 11, 2020 to Aug 1, 2022 · Blue Ash, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 17, 2015 to Oct 15, 2020 · Wilmington, Oh
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Apr 15, 2015 · Wilmington, Oh
- C••••• I••••••••• S••••••• L•• formerJun 20, 2007 to Jan 21, 2014 · Lebanon, Oh
- L•• F•••••••• L•• BD affiliatedApr 5, 2006 to Jul 16, 2007 · Clarksville, Oh
- 9••• W••••• M••••••••• L•• to P••• A••••• S••••••••• L••left Aug 1, 2022, registered Aug 11, 2022 (10 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to 9••• W••••• M••••••••• L••left Oct 15, 2020, registered Nov 11, 2020 (27 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 15, 2015, registered Apr 17, 2015 (2 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Jul 16, 2007, registered Jun 20, 2007 (-26 days) · Other
- Jason A Phipps left 9258 Wealth Management, Llc for Park Avenue Securities Llc (registered 2022-08-11)Aug 1, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address