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.
D•••••• D•••• L••••••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 10, 2016 · Columbus, Oh
- N••••••••• S••••••••• L•• no RAUMJan 30, 2012 to Mar 21, 2016 · Columbus, Oh
- J••• M••••• I••••••••• M••••••••• I••• asset managerMay 23, 2008 to Feb 24, 2009 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 3, 2004 to Mar 14, 2007 · Columbus, Oh
- N••••••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Mar 21, 2016, registered Mar 10, 2016 (-11 days) · corporate re-registration, not a move
- J••• M••••• I••••••••• M••••••••• I••• to N••••••••• S••••••••• L••left Feb 24, 2009, registered Jan 30, 2012 (1070 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• I••••••••• M••••••••• I•••left Mar 14, 2007, registered May 23, 2008 (436 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address