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••••• R••• H••••••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 1, 2018 · Columbus, Oh
- E•••••• F•••••••• S•••••••• L•• formerAug 17, 2015 to Nov 1, 2018 · Colombus, Oh
- E•••• S••••••••• L•• BD affiliatedDec 12, 2012 to Mar 20, 2014 · Seven Hills, Oh
- C•••• I••••••••• S••••••• C•••• formerJul 10, 2008 to Jul 30, 2009 · Wadsworth, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDMar 14, 2005 to Oct 16, 2007 · Independence, Oh
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
- E•••• S••••••••• L•• to E•••••• F•••••••• S•••••••• L••left Mar 20, 2014, registered Aug 17, 2015 (515 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••• S••••••••• L••left Jul 30, 2009, registered Dec 12, 2012 (1231 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 16, 2007, registered Jul 10, 2008 (268 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address