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.
J••••• M•••••• H•••••••
- O• I••••••••• M••••••••• C• BD affiliated currentsince Jun 3, 2020 · Wooster, Oh
- H••••• W••••• M••••••••• L•• former currentsince Oct 10, 2013 · Berlin, Oh
- E••••• F••••••••• L•• institutionalJun 8, 2010 to Aug 20, 2013 · Littleton, Co
- K••• P•••••••• L••• state registeredNov 10, 2008 to Mar 9, 2012 · Mansfield, Oh
- E••••• F••••••••• L•• to H••••• W••••• M••••••••• L••left Aug 20, 2013, registered Oct 10, 2013 (51 days) · Other
- K••• P•••••••• L••• to E••••• F••••••••• L••left Mar 9, 2012, registered Jun 8, 2010 (-640 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address