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.
C••••••••• C••••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Columbus, Oh
- C••• B•••••••• S•••••••• I••• formerNov 27, 2018 to May 18, 2022 · Waverly, Ia
- B••••• H••• I••••••••• A•••••••• L•• state registeredFeb 22, 2018 to Sep 13, 2018 · Dublin, Oh
- A•••• F•••••••• P•••••••• I••• unclassifiedMar 25, 2017 to Mar 16, 2018 · Dublin, Oh
- M••••• A•••• M••••••••• I••• asset managerFeb 17, 2017 to Mar 7, 2017 · Dublin, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedSep 5, 2012 to Jul 13, 2015 · Dublin, Oh
- N•• E•••••• S••••••••• C••••••••• formerAug 15, 2011 to Jun 26, 2012 · Dublin, Oh
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- B••••• H••• I••••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Sep 13, 2018, registered Nov 27, 2018 (75 days) · Other
- A•••• F•••••••• P•••••••• I••• to B••••• H••• I••••••••• A•••••••• L••left Mar 16, 2018, registered Feb 22, 2018 (-22 days) · Other
- M••••• A•••• M••••••••• I••• to A•••• F•••••••• P•••••••• I•••left Mar 7, 2017, registered Mar 25, 2017 (18 days) · Other
- F•••• T•••• S••••••••• I••• to M••••• A•••• M••••••••• I•••left Jul 13, 2015, registered Feb 17, 2017 (585 days) · Other
- N•• E•••••• S••••••••• C••••••••• to F•••• T•••• S••••••••• I•••left Jun 26, 2012, registered Sep 5, 2012 (71 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address