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.
W•••••• W• H•
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 15, 2024 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2022 to Apr 16, 2024 · Austin, Tx
- J••• M••••• S••••••••• L•• wirehouseDec 26, 2019 to Aug 5, 2022 · Hilliard, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJun 21, 2018 to Nov 25, 2019 · Columbus, Oh
- P••• A••••• S••••••••• L•• BD affiliatedJun 5, 2015 to May 18, 2018 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 16, 2024, registered Apr 15, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2022, registered Sep 27, 2022 (53 days) · Wirehouse to wirehouse · moved with a team
- H••••••••• F•••••••• A••••••• to J••• M••••• S••••••••• L••left Nov 25, 2019, registered Dec 26, 2019 (31 days) · Affiliated broker-dealer or bank to wirehouse
- P••• A••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left May 18, 2018, registered Jun 21, 2018 (34 days) · Affiliated broker-dealer or bank to another
- W•••••• W• H• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•••••• J•••• • A••••••••• I••• (registered 2024-04-15)Apr 16, 2024 · Advisor changed firm · fact
- W•••••• W• H• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-27)Aug 5, 2022 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address