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•••••• R••••• U••••••••
- B•• P•••••••• I••• BD affiliated currentsince Nov 21, 2017 · Toledo, Oh
- C••••••• S••••••••• I••• BD affiliatedJan 25, 2016 to Nov 8, 2017 · Oregon, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedAug 30, 2012 to Jan 14, 2016 · Toledo, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 16, 2010 to Aug 9, 2012 · Independence, Oh
- N•••••• I••••••••• I••• unclassifiedApr 29, 2008 to Sep 2, 2009 · Oregon, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedNov 22, 2006 to Jan 18, 2008 · Perrysburg, Oh
- M•• F•••••••• S•••••••• I••• formerMar 9, 2005 to Sep 25, 2006 · Toledo, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedAug 4, 2004 to Feb 18, 2005 · Toledo, Oh
- C••••••• S••••••••• I••• to B•• P•••••••• I•••left Nov 8, 2017, registered Nov 21, 2017 (13 days) · Other
- H••••••••• F•••••••• A••••••• to C••••••• S••••••••• I•••left Jan 14, 2016, registered Jan 25, 2016 (11 days) · Other
- V•••• F•••••••• A•••••••• I••• to H••••••••• F•••••••• A•••••••left Aug 9, 2012, registered Aug 30, 2012 (21 days) · Other
- N•••••• I••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Sep 2, 2009, registered Jun 16, 2010 (287 days) · Other
- F•••• T•••• S••••••••• I••• to N•••••• I••••••••• I•••left Jan 18, 2008, registered Apr 29, 2008 (102 days) · Other
- M•• F•••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Sep 25, 2006, registered Nov 22, 2006 (58 days) · Other
- K•••••• C•••••• M•••••• I••• to M•• F•••••••• S•••••••• I•••left Feb 18, 2005, registered Mar 9, 2005 (19 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