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.
G••• S•••• W•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 2, 2018 · Cambridge, Oh
- W••••••• S••••••••• I••• BD affiliatedNov 4, 2014 to May 15, 2018 · St Clairsville, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJan 27, 2009 to Nov 3, 2014 · St. Clairsville, Oh
- W••••••• S••••••••• I••• to L•• F•••••••• L••left May 15, 2018, registered May 2, 2018 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- H••••••••• F•••••••• A••••••• to W••••••• S••••••••• I•••left Nov 3, 2014, registered Nov 4, 2014 (1 days) · Other
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address