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•••• P•••••• R•••••••••
- M••••• S•••••• wirehouse currentsince Jan 22, 2021 · Dublin, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJul 24, 2009 to Jan 25, 2021 · New Albany, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 23, 2002 to Mar 3, 2003 · Columbus, Oh
- H••••••••• F•••••••• A••••••• to M••••• S••••••left Jan 25, 2021, registered Jan 22, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••••••••• F•••••••• A•••••••left Mar 3, 2003, registered Jul 24, 2009 (2335 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address