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.
E••• N••••• L••••••
- O•••••••• F•••••••• S••••••• L•• independent RIA currentsince Sep 22, 2023 · Birmingham, Al
- G•••••• W••••• P•••••••• L•• independent RIAOct 6, 2022 to Sep 26, 2023 · Van Wert, Oh
- A•••••••• P•••• I••• formerApr 12, 2018 to Oct 25, 2022 · Van Wert, Oh
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 16, 2017 to Feb 21, 2018 · Fort Wayne, In
- F•••• T•••• S••••••••• I••• BD affiliatedMay 16, 2014 to Dec 7, 2015 · Fort Wayne, In
- G•••••• W••••• P•••••••• L•• to O•••••••• F•••••••• S••••••• L••left Sep 26, 2023, registered Sep 22, 2023 (-4 days) · RIA to RIA · moved with a team
- A•••••••• P•••• I••• to G•••••• W••••• P•••••••• L••left Oct 25, 2022, registered Oct 6, 2022 (-19 days) · RIA to a newly registered adviser · moved with a team
- C••••• I••••••••• A••••••• L•• to A•••••••• P•••• I•••left Feb 21, 2018, registered Apr 12, 2018 (50 days) · Other
- F•••• T•••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Dec 7, 2015, registered Feb 16, 2017 (437 days) · Other
- E••• N••••• L•••••• left G•••••• W••••• P•••••••• L•• for O•••••••• F•••••••• S••••••• L•• (registered 2023-09-22)Sep 26, 2023 · Advisor changed firm · fact
- E••• N••••• L•••••• left A•••••••• P•••• I••• for G•••••• W••••• P•••••••• L•• (registered 2022-10-06)Oct 25, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address