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.
P••• T••••• S••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 12, 2022 · Dublin, Oh
- H•••••• T••••••• • K•••• L•• independent RIAJun 23, 2021 to Aug 8, 2022 · Columbus, Oh
- G• A• R••••• • C•••••• BD affiliatedApr 1, 2020 to Jun 4, 2021 · Dublin, Oh
- R•••• I••••••••• A••••••• L•• BD affiliatedFeb 20, 2018 to Mar 31, 2020 · Dublin, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 8, 2016 to Nov 20, 2017 · Dublin, Oh
- P••• A••••• S••••••••• L•• BD affiliatedJan 4, 2011 to Jul 29, 2016 · Dublin, Oh
- H•••••• T••••••• • K•••• L•• to M•• I•••••••• S•••••••• L••left Aug 8, 2022, registered Aug 12, 2022 (4 days) · Affiliated broker-dealer or bank to another
- G• A• R••••• • C•••••• to H•••••• T••••••• • K•••• L••left Jun 4, 2021, registered Jun 23, 2021 (19 days) · Affiliated broker-dealer or bank to another
- R•••• I••••••••• A••••••• L•• to G• A• R••••• • C••••••left Mar 31, 2020, registered Apr 1, 2020 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to R•••• I••••••••• A••••••• L••left Nov 20, 2017, registered Feb 20, 2018 (92 days) · Other
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 29, 2016, registered Aug 8, 2016 (10 days) · Other
- P••• T••••• S•••• left H•••••• T••••••• • K•••• L•• for M•• I•••••••• S•••••••• L•• (registered 2022-08-12)Aug 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address