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.
C••••• J••••• A••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Oct 21, 2019 · Gahanna, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 6, 2019 to Sep 10, 2019 · Dublin, Oh
- T• A••••••••• I••• formerMar 6, 2019 to Sep 10, 2019 · Dublin, Oh
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedAug 28, 2015 to Aug 8, 2018 · Columbus, Oh
- T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 10, 2019, registered Oct 21, 2019 (41 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 10, 2019, registered Mar 6, 2019 (-188 days) · channel change inside one enterprise, not a move
- N••••••••• I••••••••• A•••••••• L•• to T• A••••••••• I•••left Aug 8, 2018, registered Mar 6, 2019 (210 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
- 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