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.
M•••••• C•••••• E••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 3, 2022 · Westerville, Oh
- W•••• F•••• A••••••• wirehouseSep 5, 2013 to Oct 19, 2015 · Columbus, Oh
- E•••••• F•••••••• S•••••••• L•• formerFeb 25, 2013 to Jun 24, 2013 · Columbus, Oh
- P•••••••• A••••••• national BDAug 4, 2011 to Feb 14, 2013 · Houston, Tx
- W•••• F•••• A••••••• to L•• F•••••••• L••left Oct 19, 2015, registered Oct 3, 2022 (2541 days) · Wirehouse to independent RIA
- E•••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Jun 24, 2013, registered Sep 5, 2013 (73 days) · Other
- P•••••••• A••••••• to E•••••• F•••••••• S•••••••• L••left Feb 14, 2013, registered Feb 25, 2013 (11 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address