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.
D•••••• L•••• S••••••
- T•• A•••••••• G•••• BD affiliated currentsince Oct 26, 2022 · Columbus, Oh
- P•••••••• S••••••••• I••• BD affiliatedJun 12, 2012 to Nov 2, 2022 · Dublin, Oh
- N•••••• I••••••••• I••• unclassifiedSep 1, 2009 to Oct 12, 2009 · Buckeye Lake, Oh
- P•••••••• S••••••••• I••• to T•• A•••••••• G••••left Nov 2, 2022, registered Oct 26, 2022 (-7 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•••••• I••••••••• I••• to P•••••••• S••••••••• I•••left Oct 12, 2009, registered Jun 12, 2012 (974 days) · Other
- D•••••• L•••• S•••••• left P•••••••• S••••••••• I••• for T•• A•••••••• G•••• (registered 2022-10-26)Nov 2, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address