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.
B••••••• P••• F•••••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Nov 1, 2021 · Kokomo, In
- L•• F•••••••• L•• BD affiliatedJun 1, 2016 to Oct 29, 2021 · Zanesville, Oh
- A•••• F•••••••• P•••••••• I••• unclassifiedJul 22, 2015 to Jun 3, 2016 · Dublin, Oh
- S•••••• W••••• P•••••••• L•• BD affiliatedJun 11, 2012 to Oct 1, 2015 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedSep 1, 2010 to Jun 12, 2012 · Dublin, Oh
- M••••• G••••• A••••••• I••• independent RIAJul 3, 2008 to Sep 16, 2010 · Dublin, Oh
- M••••• A••••••• unclassifiedFeb 7, 2007 to Jun 26, 2008 · Dublin, Oh
- L•• F•••••••• L•• to C••••••• F•••••••• D••••••• I•••left Oct 29, 2021, registered Nov 1, 2021 (3 days) · Affiliated broker-dealer or bank to another
- A•••• F•••••••• P•••••••• I••• to L•• F•••••••• L••left Jun 3, 2016, registered Jun 1, 2016 (-2 days) · Other
- S•••••• W••••• P•••••••• L•• to A•••• F•••••••• P•••••••• I•••left Oct 1, 2015, registered Jul 22, 2015 (-71 days) · Other · moved with a team
- H••••••••• F•••••••• A••••••• to S•••••• W••••• P•••••••• L••left Jun 12, 2012, registered Jun 11, 2012 (-1 days) · Other
- M••••• G••••• A••••••• I••• to H••••••••• F•••••••• A•••••••left Sep 16, 2010, registered Sep 1, 2010 (-15 days) · Other
- M••••• A••••••• to M••••• G••••• A••••••• I•••left Jun 26, 2008, registered Jul 3, 2008 (7 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address