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.
A••••• D• C•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 8, 2021 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedNov 28, 2018 to Jul 28, 2021 · Columbus, Oh
- A••••• A•• P••••••• S••••••• BD affiliatedMar 13, 2015 to Oct 23, 2018 · Dublin, Oh
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedFeb 12, 2014 to Mar 9, 2015 · Columbus, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jan 27, 2014 · Columbus, Oh
- N•••••• I••••••••• I••• unclassifiedDec 19, 2008 to Nov 13, 2009 · Columbus, Oh
- E••••• J•••• national BDMay 23, 2008 to Oct 22, 2008 · St Louis, Mo
- H••••••••• F•••••••• A••••••• to J••• M••••• S••••••••• L••left Jul 28, 2021, registered Oct 8, 2021 (72 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- A••••• A•• P••••••• S••••••• to H••••••••• F•••••••• A•••••••left Oct 23, 2018, registered Nov 28, 2018 (36 days) · Affiliated broker-dealer or bank to another
- N••••••••• I••••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Mar 9, 2015, registered Mar 13, 2015 (4 days) · Other
- P•• W••••• M••••••••• to N••••••••• I••••••••• A•••••••• L••left Jan 27, 2014, registered Feb 12, 2014 (16 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to N•••••• I••••••••• I•••left Oct 22, 2008, registered Dec 19, 2008 (58 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address