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.
- E••••• J•••• national BD currentsince Mar 1, 2019 · Sugarcreek, Oh
- E••••••• T•••• C•••••• formerDec 7, 2017 to Sep 13, 2018 · Kidron, Oh
- C•••••••• F•••••••• G•••• A••••••• formerNov 8, 2017 to Oct 9, 2018 · Kidron, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedSep 8, 2016 to Oct 16, 2017 · Minerva, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedAug 13, 2012 to May 2, 2016 · Cuyahoga Falls, Oh
- E••••• J•••• national BDMar 22, 2010 to Sep 23, 2010 · Dover, Oh
- C•••••••• F•••••••• G•••• A••••••• to E••••••• T•••• C••••••left Oct 9, 2018, registered Dec 7, 2017 (-306 days) · Other
- E••••••• T•••• C•••••• to E••••• J••••left Sep 13, 2018, registered Mar 1, 2019 (169 days) · RIA to affiliated broker-dealer or bank
- H••••••••• F•••••••• A••••••• to C•••••••• F•••••••• G•••• A•••••••left Oct 16, 2017, registered Nov 8, 2017 (23 days) · Other
- E••••• J•••• to H••••••••• F•••••••• A•••••••left Sep 23, 2010, registered Aug 13, 2012 (690 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address