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.
T••••• N•••••• M•••
- V•••••• V•••••••• P••••••• L•• independent RIA currentsince Jan 6, 2021 · Sylvania, Oh
- U•• F•••••••• S••••••• I••• wirehouseOct 28, 2019 to Nov 20, 2020 · Sylvania, Oh
- L•• F•••••••• L•• BD affiliatedNov 13, 2018 to Sep 30, 2019 · Bowling Green, Oh
- U•• F•••••••• S••••••• I••• to V•••••• V•••••••• P••••••• L••left Nov 20, 2020, registered Jan 6, 2021 (47 days) · Wirehouse to independent RIA · moved with a team
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Sep 30, 2019, registered Oct 28, 2019 (28 days) · Affiliated broker-dealer or bank to wirehouse
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address