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.
B•••••• D•••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 28, 2022 · Toledo, Oh
- O•••• W•••••• I••• BD affiliatedDec 4, 2012 to Oct 31, 2022 · Toledo, Oh
- N••• F•••••••• G••••• I••• formerAug 24, 2009 to Dec 4, 2012 · Toledo, Oh
- M••••• S•••••• C••••••••• unclassifiedApr 3, 2009 to Aug 25, 2009 · Toledo, Oh
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 31, 2022, registered Oct 28, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••• F•••••••• G••••• I••• to O•••• W•••••• I•••left Dec 4, 2012, registered Dec 4, 2012 (0 days) · Other
- M••••• S•••••• C••••••••• to N••• F•••••••• G••••• I•••left Aug 25, 2009, registered Aug 24, 2009 (-1 days) · Other
- B•••••• D•••• R•••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2022-10-28)Oct 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address