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.
A•••••• R••••• J••••
- R•••• F••••••••• L•• independent RIA currentsince Oct 30, 2015 · Groveport, Oh
- P•• W••••• M••••••••• BD affiliatedDec 3, 2014 to Oct 15, 2015 · Columbus, Oh
- W••••••• F•••••••• S•••••••• I••• formerMay 3, 2010 to Nov 30, 2010 · Columbus, Oh
- J••• H•••••• I••••••••• M••••••••• L•• asset managerDec 24, 2008 to Apr 9, 2010 · Columbus, Oh
- J••• H•••••• D••••••••• L•• unclassifiedOct 16, 2006 to Dec 31, 2006 · Lombard, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Sep 28, 2006 · Roanoke, Va
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJul 1, 2005 to Feb 21, 2006 · Roanoke, Va
- P•• W••••• M••••••••• to R•••• F••••••••• L••left Oct 15, 2015, registered Oct 30, 2015 (15 days) · Other
- W••••••• F•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Nov 30, 2010, registered Dec 3, 2014 (1464 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Apr 9, 2010, registered May 3, 2010 (24 days) · Other
- J••• H•••••• D••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Dec 24, 2008 (724 days) · Other
- C•••••••• G••••• M•••••• I••• to J••• H•••••• D••••••••• L••left Sep 28, 2006, registered Oct 16, 2006 (18 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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