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.
C•••• P•••••••
- L•• E••••••••• L•• BD affiliated currentsince Jun 20, 2025 · Columbus, Oh
- L•• E••••••••• L•• BD affiliatedMar 7, 2025 to Mar 19, 2025 · Fort Mill, Sc
- L•• F•••••••• L•• BD affiliatedMar 18, 2024 to Mar 19, 2025 · Fort Mill, Sc
- J••• M••••• S••••••••• L•• wirehouseOct 4, 2023 to Mar 16, 2024 · Columbus, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 1, 2023 to Jul 28, 2023 · Bexley, Oh
- J••• M••••• S••••••••• L•• wirehouseDec 8, 2016 to Jan 8, 2019 · Columbus, Oh
- E•••••••• A•••••••• L•• national BDMay 19, 2016 to Jul 28, 2016 · Columbus, Oh
- E•••••• F•••••••• S•••••••• L•• formerSep 10, 2014 to Nov 9, 2015 · Columbus, Oh
- M••••• S•••••• wirehouseJun 28, 2013 to Sep 25, 2014 · Columbus, Oh
- W•••••• • R••• formerApr 13, 2011 to Jul 21, 2011 · Dublin, Oh
- L•• F•••••••• L•• to L•• E••••••••• L••left Mar 19, 2025, registered Mar 7, 2025 (-12 days) · Affiliated broker-dealer or bank to a newly registered adviser
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Mar 16, 2024, registered Mar 18, 2024 (2 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••left Jul 28, 2023, registered Oct 4, 2023 (68 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 8, 2019, registered Feb 1, 2023 (1485 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Jul 28, 2016, registered Dec 8, 2016 (133 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Nov 9, 2015, registered May 19, 2016 (192 days) · Other
- M••••• S•••••• to E•••••• F•••••••• S•••••••• L••left Sep 25, 2014, registered Sep 10, 2014 (-15 days) · Other
- W•••••• • R••• to M••••• S••••••left Jul 21, 2011, registered Jun 28, 2013 (708 days) · Other
- C•••• P••••••• left L•• F•••••••• L•• for L•• E••••••••• L•• (registered 2025-03-07)Mar 19, 2025 · Advisor changed firm · fact
- C•••• P••••••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2024-03-18)Mar 16, 2024 · Advisor changed firm · fact
- C•••• P••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-10-04)Jul 28, 2023 · Advisor changed firm · fact
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address