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 May 16, 2023 · Columbus, Oh
- P•••• S••••••••• L•• no RAUMDec 17, 2020 to Feb 4, 2023 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedMay 5, 2016 to Oct 6, 2020 · Russells Point, Oh
- P•••• S••••••••• L•• to M••••• S••••••left Feb 4, 2023, registered May 16, 2023 (101 days) · Affiliated broker-dealer or bank to wirehouse
- H••••••••• F•••••••• A••••••• to P•••• S••••••••• L••left Oct 6, 2020, registered Dec 17, 2020 (72 days) · Affiliated broker-dealer or bank to another
- R•••• M• H••••• left P•••• S••••••••• L•• for M••••• S•••••• (registered 2023-05-16)Feb 4, 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address