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••••••• A•• W••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 31, 2021 · Grove City, Oh
- O•••• F•• I••• formerMay 2, 2018 to Aug 31, 2021 · Columbus, Oh
- B•••••••• F•••••••• M••••••••• I•• otherDec 7, 2006 to Sep 7, 2017 · New York, Ny
- O•••• F•• I••• to L•• F•••••••• L••left Aug 31, 2021, registered Aug 31, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- B•••••••• F•••••••• M••••••••• I•• to O•••• F•• I•••left Sep 7, 2017, registered May 2, 2018 (237 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address