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••••• S•••••• wirehouse currentsince Nov 30, 2021 · Columbus, Oh
- N••••••••• S••••••••• L•• no RAUMMar 1, 2018 to Nov 16, 2021 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseJul 10, 2015 to Jan 3, 2018 · Columbus, Oh
- N••••••••• S••••••••• L•• to M••••• S••••••left Nov 16, 2021, registered Nov 30, 2021 (14 days) · Other
- J••• M••••• S••••••••• L•• to N••••••••• S••••••••• L••left Jan 3, 2018, registered Mar 1, 2018 (57 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address