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.
J•••••• J•••• K•••
- W•••• F•••• A••••••• wirehouse currentsince May 18, 2022 · Miamisburg, Oh
- N••••• A•••• M••••••••• L•• mixed wealthJan 10, 2012 to Aug 7, 2020 · Chicago, Il
- T•• J••••• G•••• C•••••• M••••••••• formerJan 10, 2005 to Jan 20, 2012 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJun 17, 2003 to Jul 9, 2004 · Dublin, Oh
- N••••• A•••• M••••••••• L•• to W•••• F•••• A•••••••left Aug 7, 2020, registered May 18, 2022 (649 days) · RIA to wirehouse
- T•• J••••• G•••• C•••••• M••••••••• to N••••• A•••• M••••••••• L••left Jan 20, 2012, registered Jan 10, 2012 (-10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T•• J••••• G•••• C•••••• M•••••••••left Jul 9, 2004, registered Jan 10, 2005 (185 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address