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••••• J•••• national BD currentsince Jun 17, 2022 · Liberty, In
- M•••• C••••••• A••••••• S•••••• BD affiliatedSep 28, 2015 to Jun 7, 2022 · Coldwater, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 16, 2013 to Apr 24, 2015 · Greenville, Oh
- U••• B•••••• I••••••••• I••• formerMar 13, 2013 to Apr 22, 2013 · Minster, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Mar 5, 2013 · Greenville, Oh
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 12, 2006 to Jan 2, 2009 · Greenville, Oh
- M•••• C••••••• A••••••• S•••••• to E••••• J••••left Jun 7, 2022, registered Jun 17, 2022 (10 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••• C••••••• A••••••• S••••••left Apr 24, 2015, registered Sep 28, 2015 (157 days) · Other
- U••• B•••••• I••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 22, 2013, registered May 16, 2013 (24 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U••• B•••••• I••••••••• I•••left Mar 5, 2013, registered Mar 13, 2013 (8 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• H•••• left M•••• C••••••• A••••••• S•••••• for E••••• J•••• (registered 2022-06-17)Jun 7, 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address