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.
T•••••• L• J••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Aug 31, 2022 · Brooklyn, Oh
- J••• M••••• S••••••••• L•• wirehouseJul 13, 2022 to Aug 31, 2022 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDApr 30, 2003 to Jun 23, 2003 · Independence, Oh
- J••• M••••• S••••••••• L•• to K•• I••••••••• S••••••• L••left Aug 31, 2022, registered Aug 31, 2022 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left Jun 23, 2003, registered Jul 13, 2022 (6960 days) · Affiliated broker-dealer or bank to wirehouse
- T•••••• L• J•••• left J••• M••••• S••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2022-08-31)Aug 31, 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address