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.
E•••• P••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Feb 12, 2024 · Columbus, Oh
- S•• BD affiliatedApr 13, 2023 to Sep 8, 2023 · New Albany, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedOct 10, 2019 to Apr 21, 2023 · Columbus, Oh
- S•• to F•••• T•••• S••••••••• I•••left Sep 8, 2023, registered Feb 12, 2024 (157 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to S••left Apr 21, 2023, registered Apr 13, 2023 (-8 days) · Affiliated broker-dealer or bank to another
- E•••• P•••••• left Spc for F•••• T•••• S••••••••• I••• (registered 2024-02-12)Sep 8, 2023 · Advisor changed firm · fact
- E•••• P•••••• left F•••• T•••• S••••••••• I••• for Spc (registered 2023-04-13)Apr 21, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address