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.
J••• R••••• S••••••
- P••••••••• W••••• S••••••••• L•• state registered currentsince Jan 12, 2015 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 30, 2012 to Sep 4, 2014 · Columbus, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedMar 15, 2010 to Jan 23, 2012 · Dublin, Oh
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Mar 12, 2010 · Dublin, Oh
- F•••••• B•••• W••••• L•• unclassifiedAug 9, 2006 to Mar 13, 2009 · Cleveland, Oh
- J••••• H•••••••• W••• L••••• L•• formerJun 17, 2003 to Aug 10, 2006 · Grandview Heights, Oh
- A••••••••• F•••••••• S•••••••• L•• to P••••••••• W••••• S••••••••• L••left Sep 4, 2014, registered Jan 12, 2015 (130 days) · Affiliated broker-dealer or bank to a state-registered adviser
- H••••••••• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2012, registered Jan 30, 2012 (7 days) · Other
- R•• C•••••• M••••••• L•• to H••••••••• F•••••••• A•••••••left Mar 12, 2010, registered Mar 15, 2010 (3 days) · Other
- F•••••• B•••• W••••• L•• to R•• C•••••• M••••••• L••left Mar 13, 2009, registered Mar 13, 2009 (0 days) · corporate re-registration, not a move
- J••••• H•••••••• W••• L••••• L•• to F•••••• B•••• W••••• L••left Aug 10, 2006, registered Aug 9, 2006 (-1 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
- STATE REGISTEREDderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address