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••••• S•••••• wirehouse currentsince Dec 20, 2022 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseSep 10, 2021 to Dec 31, 2021 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedOct 22, 2019 to Jul 28, 2021 · Columbus, Oh
- M••••• S•••••• wirehouseJun 1, 2010 to Oct 21, 2019 · Columbus, Oh
- J••• M••••• S••••••••• L•• to M••••• S••••••left Dec 31, 2021, registered Dec 20, 2022 (354 days) · Wirehouse to wirehouse · moved with a team
- H••••••••• F•••••••• A••••••• to J••• M••••• S••••••••• L••left Jul 28, 2021, registered Sep 10, 2021 (44 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to H••••••••• F•••••••• A•••••••left Oct 21, 2019, registered Oct 22, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address