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.
P•••••• J••• M•••••
- E••••• J•••• national BD currentsince Jul 22, 2019 · Westerville, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJul 3, 2019 to Jul 11, 2019 · Worthington, Oh
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedMay 9, 2007 to Sep 5, 2007 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Jul 11, 2019, registered Jul 22, 2019 (11 days) · Affiliated broker-dealer or bank to another
- N••••••••• I••••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 5, 2007, registered Jul 3, 2019 (4319 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address