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••••• M•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 19, 2021 · Columbus, Oh
- P•••• S••••••••• L•• no RAUMJan 22, 2014 to Jan 25, 2021 · Columbus, Oh
- S••••••• C•••••• M••••••••• independent RIAOct 20, 2008 to Jul 1, 2010 · Wheeling, Wv
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Jan 25, 2021, registered Feb 19, 2021 (25 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• C•••••• M••••••••• to P•••• S••••••••• L••left Jul 1, 2010, registered Jan 22, 2014 (1301 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address