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.
M••• A• W••••••
- I••••• C•••••• P••••••• independent RIA currentsince Aug 2, 2018 · Granville, Oh
- R•••••• J•••• • A••••••••• I••• national BDMay 16, 2013 to Aug 1, 2018 · Dublin, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 11, 2011 to Apr 30, 2013 · Zanesville, Oh
- R•••••• J•••• • A••••••••• I••• to I••••• C•••••• P•••••••left Aug 1, 2018, registered Aug 2, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 30, 2013, registered May 16, 2013 (16 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address