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•••••• C••••••••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2019 · Hilliard, Oh
- I••••• C•••••• P••••••• independent RIAJun 29, 2017 to Dec 2, 2019 · Springboro, Oh
- R•••••• J•••• • A••••••••• I••• national BDOct 30, 2015 to Jun 27, 2017 · Dublin, Oh
- E••••• J•••• national BDJun 12, 2012 to Nov 9, 2015 · St Louis, Mo
- I••••• C•••••• P••••••• to L•• F•••••••• L••left Dec 2, 2019, registered Nov 29, 2019 (-3 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to I••••• C•••••• P•••••••left Jun 27, 2017, registered Jun 29, 2017 (2 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E••••• J•••• to R•••••• J•••• • A••••••••• I•••left Nov 9, 2015, registered Oct 30, 2015 (-10 days) · Affiliated broker-dealer or bank to another
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