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•••••••• S••• H••••
- M•••••• BD affiliated currentsince Nov 15, 2021 · Nashville, Tn
- L•• F•••••••• L•• BD affiliatedDec 16, 2014 to Nov 9, 2021 · Richwood, Oh
- C••••••••• F•••••••• N•••••• national BDJul 31, 2014 to Nov 6, 2014 · Marysville, Oh
- M•• F•••••••• S•••••••• I••• formerOct 11, 2013 to Jul 28, 2014 · Broadview Hts, Oh
- L•• F•••••••• L•• to M••••••left Nov 9, 2021, registered Nov 15, 2021 (6 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to L•• F•••••••• L••left Nov 6, 2014, registered Dec 16, 2014 (40 days) · Other
- M•• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Jul 28, 2014, registered Jul 31, 2014 (3 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address