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.
C••••• A•••• L••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Solon, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 8, 2022 to Mar 31, 2025 · Solon, Oh
- M••••• S•••••• wirehouseJun 14, 2019 to Jul 26, 2022 · Pepper Pike, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 14, 2016 to Jun 17, 2019 · Pepper Pike, Oh
- U•• F•••••••• S••••••• I••• wirehouseMay 28, 2003 to May 23, 2006 · Beachwood, Oh
- A• G• E•••••• • S•••• I••• unclassifiedJan 1, 2000 to Jun 20, 2003 · Beachwood, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 26, 2022, registered Sep 8, 2022 (44 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 17, 2019, registered Jun 14, 2019 (-3 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2006, registered Mar 14, 2016 (3583 days) · Wirehouse to wirehouse
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Jun 20, 2003, registered May 28, 2003 (-23 days) · Other
- C••••• A•••• L•••••• left M••••• S•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-09-08)Jul 26, 2022 · Advisor changed firm · fact
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address