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.
B••••••• K• P•••••
- S•••••••• E••••• P•••••••• L•• independent RIA currentsince Aug 14, 2023 · Columbus, Oh
- O•••• W•••••• I••• BD affiliated currentsince Jun 18, 2020 · Columbus, Oh
- G••••• R•••••• R••••••••• L•• independent RIAJul 18, 2016 to Mar 25, 2020 · Dublin, Oh
- P•• W••••• M••••••••• BD affiliatedFeb 5, 2013 to Sep 23, 2013 · Gahanna, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 18, 2011 to Jan 29, 2013 · Columbus, Oh
- G••••• R•••••• R••••••••• L•• to O•••• W•••••• I•••left Mar 25, 2020, registered Jun 18, 2020 (85 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to G••••• R•••••• R••••••••• L••left Sep 23, 2013, registered Jul 18, 2016 (1029 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Jan 29, 2013, registered Feb 5, 2013 (7 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address