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.
K•••••• J•••• C••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Nov 30, 2017 · Alliance, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 11, 2017 · Twinsburg, Oh
- C•••• I••••••••• S••••••• C•••• formerNov 9, 2006 to Oct 1, 2012 · Twinsburg, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 18, 2003 to Mar 20, 2006 · Mayfield, Oh
- J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••left Oct 11, 2017, registered Nov 30, 2017 (50 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 20, 2006, registered Nov 9, 2006 (234 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address