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.
S•••••• R••••• E••••• J•••••
- P•• W••••• M••••••••• BD affiliated currentsince Nov 29, 2023 · Westerville, Oh
- P•••• S••••••••• L•• no RAUMJan 12, 2023 to Nov 24, 2023 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedOct 24, 2018 to Jan 12, 2023 · Columbus, Oh
- P•••• S••••••••• L•• to P•• W••••• M•••••••••left Nov 24, 2023, registered Nov 29, 2023 (5 days) · Affiliated broker-dealer or bank to another
- H••••••••• F•••••••• A••••••• to P•••• S••••••••• L••left Jan 12, 2023, registered Jan 12, 2023 (0 days) · Affiliated broker-dealer or bank to another
- S•••••• R••••• E••••• J••••• left P•••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2023-11-29)Nov 24, 2023 · Advisor changed firm · fact
- S•••••• R••••• E••••• J••••• left H••••••••• F•••••••• A••••••• for P•••• S••••••••• L•• (registered 2023-01-12)Jan 12, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address