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.
L•••••• M•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 8, 2024 · Dublin, Oh
- P•• W••••• M••••••••• BD affiliatedApr 26, 2018 to Apr 8, 2024 · Powell, Oh
- J••• M••••• S••••••••• L•• wirehouseJul 25, 2016 to Apr 10, 2018 · Columbus, Oh
- U•• F•••••••• S••••••• I••• wirehouseJun 18, 2015 to Jun 10, 2016 · New Albany, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 1, 2015 · Columbus, Oh
- C•••• I••••••••• S••••••• C•••• formerJul 11, 2007 to Oct 1, 2012 · Marysville, Oh
- C•••• I••••••••• S••••••• C•••• formerMar 6, 2006 to Dec 8, 2006 · Dublin, Oh
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Apr 8, 2024, registered Apr 8, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Apr 10, 2018, registered Apr 26, 2018 (16 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Jun 10, 2016, registered Jul 25, 2016 (45 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 1, 2015, registered Jun 18, 2015 (-13 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- L•••••• M••••••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2024-04-08)Apr 8, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address