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.
G••• W•••••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Apr 20, 2023 · Cincinnati, Oh
- T•••• A•••••••• L•• formerOct 7, 2022 to Apr 4, 2023 · Atlanta, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 19, 2021 to Aug 3, 2022 · Springfield, Ma
- H••••••••• F•••••••• A••••••• BD affiliatedMar 19, 2019 to Sep 1, 2020 · Columbus, Oh
- Y••• P••••••• P•••••• L•• state registeredJun 13, 2018 to Sep 18, 2018 · Palm Beach Gardens, Fl
- J••• M••••• S••••••••• L•• wirehouseApr 13, 2015 to Nov 1, 2017 · Columbus, Oh
- T•••• A•••••••• L•• to F•••• T•••• S••••••••• I•••left Apr 4, 2023, registered Apr 20, 2023 (16 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to T•••• A•••••••• L••left Aug 3, 2022, registered Oct 7, 2022 (65 days) · Affiliated broker-dealer or bank to another
- H••••••••• F•••••••• A••••••• to M•• I•••••••• S•••••••• L••left Sep 1, 2020, registered Aug 19, 2021 (352 days) · Affiliated broker-dealer or bank to another
- Y••• P••••••• P•••••• L•• to H••••••••• F•••••••• A•••••••left Sep 18, 2018, registered Mar 19, 2019 (182 days) · Other
- J••• M••••• S••••••••• L•• to Y••• P••••••• P•••••• L••left Nov 1, 2017, registered Jun 13, 2018 (224 days) · Wirehouse to a state-registered adviser
- G••• W••••••••• left T•••• A•••••••• L•• for F•••• T•••• S••••••••• I••• (registered 2023-04-20)Apr 4, 2023 · Advisor changed firm · fact
- G••• W••••••••• left M•• I•••••••• S•••••••• L•• for T•••• A•••••••• L•• (registered 2022-10-07)Aug 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address