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.
N••••••• J• T•••••
- A••••••• C•••••• M••••••••• L•• independent RIA currentsince Jun 24, 2026 · Des Moines, Ia
- H••••••••• F•••••••• A••••••• BD affiliatedMar 11, 2019 to Sep 17, 2019 · Upper Arlington, Oh
- S••••• I••••••••• M••••••••• L•• independent RIAJun 13, 2018 to Feb 14, 2019 · Marysville, Oh
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJun 9, 2015 to May 30, 2018 · Cincinnati, Oh
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedDec 5, 2006 to Apr 10, 2015 · Columbus, Oh
- N••••••••• I••••••••• S••••••• C••••••••• unclassifiedMay 10, 2006 to Dec 5, 2006 · Columbus, Oh
- H••••••••• F•••••••• A••••••• to A••••••• C•••••• M••••••••• L••left Sep 17, 2019, registered Jun 24, 2026 (2472 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• I••••••••• M••••••••• L•• to H••••••••• F•••••••• A•••••••left Feb 14, 2019, registered Mar 11, 2019 (25 days) · RIA to affiliated broker-dealer or bank
- T••••••••• F•••••••• A•••••••• L•• to S••••• I••••••••• M••••••••• L••left May 30, 2018, registered Jun 13, 2018 (14 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••••• I••••••••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Apr 10, 2015, registered Jun 9, 2015 (60 days) · Other
- N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••left Dec 5, 2006, registered Dec 5, 2006 (0 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address