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.
J••••••• D••••• R•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jan 29, 2026 · Avon Lake, Oh
- T•• P•••••• G•••• independent RIANov 3, 2020 to Jul 15, 2021 · Dublin, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedOct 7, 2019 to Jul 9, 2020 · Columbus, Oh
- T•• P•••••• G•••• to M•• I•••••••• S•••••••• L••left Jul 15, 2021, registered Jan 29, 2026 (1659 days) · RIA to affiliated broker-dealer or bank
- H••••••••• F•••••••• A••••••• to T•• P•••••• G••••left Jul 9, 2020, registered Nov 3, 2020 (117 days) · Affiliated broker-dealer or bank to independent RIA
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address