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.
M•••••• F• R••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jan 27, 2020 · Columbus, Oh
- P•• C•••••• A••••••• L•• otherSep 21, 2011 to Nov 18, 2019 · Cleveland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 29, 2010 to Apr 7, 2011 · Columbus, Oh
- P•• C•••••• A••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Nov 18, 2019, registered Jan 27, 2020 (70 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• C•••••• A••••••• L••left Apr 7, 2011, registered Sep 21, 2011 (167 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address