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••••• L•• U••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Pepper Pike, Oh
- B• R•••• W••••• A•••••••• I••• BD affiliatedJul 28, 2022 to Apr 8, 2025 · Beachwood,, Oh
- B• R•••• W••••• M••••••••• formerOct 27, 2010 to Dec 31, 2022 · Mentor, Oh
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Oct 15, 2010 · Beachwood, Oh
- F•••••• B•••• W••••• L•• unclassifiedNov 22, 2002 to Mar 13, 2009 · Beachwood, Oh
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 8, 2025, registered Apr 4, 2025 (-4 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Jul 28, 2022 (-156 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to B• R•••• W••••• M•••••••••left Oct 15, 2010, registered Oct 27, 2010 (12 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
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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address