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.
A••• E••••• D••
- W•••• F•••• A••••••• wirehouse currentsince Jun 13, 2018 · Dublin, Oh
- O•••• I••••••••• I••• BD affiliatedNov 6, 2017 to May 7, 2018 · Lewis Center, Oh
- O• I••••••••• M••••••••• C• BD affiliatedAug 24, 2017 to Nov 15, 2017 · Dublin, Oh
- S•••••••• A••••••• L•• national BDOct 12, 2015 to May 11, 2017 · Columbus, Oh
- O•••• I••••••••• I••• to W•••• F•••• A•••••••left May 7, 2018, registered Jun 13, 2018 (37 days) · Affiliated broker-dealer or bank to wirehouse
- O• I••••••••• M••••••••• C• to O•••• I••••••••• I•••left Nov 15, 2017, registered Nov 6, 2017 (-9 days) · Other
- S•••••••• A••••••• L•• to O• I••••••••• M••••••••• C•left May 11, 2017, registered Aug 24, 2017 (105 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address