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••••• P••••• S••••
- J••••••• W••••• S••••••••• L•• independent RIA currentsince Sep 14, 2018 · Scottsdale, Az
- J••••••• W••••• S••••••••• L•• formerJun 28, 2017 to Nov 16, 2018 · Lancaster, Oh
- H••••••• W••••• M••••••••• L•• formerJun 28, 2017 to Dec 14, 2018 · Lancaster, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 7, 2016 to Jun 12, 2017 · Glen Allen, Va
- H••••••• W••••• M••••••••• L•• to J••••••• W••••• S••••••••• L••left Dec 14, 2018, registered Sep 14, 2018 (-91 days) · RIA to RIA
- J••••••• W••••• S••••••••• L•• to H••••••• W••••• M••••••••• L••left Nov 16, 2018, registered Jun 28, 2017 (-506 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to J••••••• W••••• S••••••••• L••left Jun 12, 2017, registered Jun 28, 2017 (16 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address