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.
S••••• E•••• L••••••
- L•••••• W••••• P••••••• independent RIA currentsince Nov 12, 2024 · Miami, Fl
- R•••••• J•••• • A••••••••• I••• national BDOct 29, 2019 to Nov 4, 2024 · Dublin, Oh
- U•• F•••••••• S••••••• I••• wirehouseJul 14, 2003 to Nov 7, 2019 · Gahanna, Oh
- R•••••• J•••• • A••••••••• I••• to L•••••• W••••• P•••••••left Nov 4, 2024, registered Nov 12, 2024 (8 days) · Affiliated broker-dealer or bank to a newly registered adviser
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Nov 7, 2019, registered Oct 29, 2019 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S••••• E•••• L•••••• left R•••••• J•••• • A••••••••• I••• for L•••••• W••••• P••••••• (registered 2024-11-12)Nov 4, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address