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••• D•••• S••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 17, 2019 · Northwood, Oh
- P•••• S••••••••• L•• no RAUMNov 18, 2016 to Mar 27, 2019 · Columbus, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 18, 2012 to Jun 26, 2015 · Toledo, Oh
- N•• E•••••• S••••••••• C••••••••• formerOct 1, 2009 to Jun 27, 2012 · Toledo, Oh
- P•••• S••••••••• L•• to E•••••• A••••••• G••••• L••left Mar 27, 2019, registered Apr 17, 2019 (21 days) · Other
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jun 26, 2015, registered Nov 18, 2016 (511 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Jun 27, 2012, registered Jul 18, 2012 (21 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address