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.
S•••••• H••••• H•••••
- E••••• W•••••• L•• independent RIA currentsince Jan 6, 2020 · Centerville, Oh
- P••••••••• F•••••••• G••••• I••• formerJun 16, 2016 to Jun 16, 2016 · Centerville, Oh
- E••••• W•••••• L•• independent RIAJun 16, 2016 to Dec 31, 2019 · San Ramon, Ca
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Jun 7, 2016 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJun 1, 2004 to Jan 30, 2015 · Dayton, Oh
- W• G••••••• S••••••••• I••• unclassifiedJan 3, 2000 to Jun 9, 2004 · Dayton, Oh
- P••••••••• F•••••••• G••••• I••• to E••••• W•••••• L••left Jun 16, 2016, registered Jun 16, 2016 (0 days) · Other
- S••••• A••••••• I••• to P••••••••• F•••••••• G••••• I•••left Jun 7, 2016, registered Jun 16, 2016 (9 days) · Other
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- W• G••••••• S••••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Jun 9, 2004, registered Jun 1, 2004 (-8 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address