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.
N••••• D•••• S••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Columbus, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 25, 2021 to Mar 31, 2025 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseMay 1, 2018 to Jul 14, 2021 · Dublin, Oh
- T• A••••••••• I••• formerFeb 27, 2018 to Apr 16, 2018 · Dublin, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Apr 16, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerFeb 24, 2017 to Feb 26, 2018 · Saint Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 14, 2021, registered Aug 25, 2021 (42 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 16, 2018, registered Feb 27, 2018 (-48 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Apr 16, 2018, registered May 1, 2018 (15 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address