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•••••• E••••• W•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 24, 2022 · Fort Mill, Sc
- S•••••• W••••• P•••••••• L•• BD affiliatedJan 6, 2011 to Jun 21, 2022 · Beachwood, Oh
- R•• C•••••• M••••••• L•• national BDMar 13, 2009 to Jan 13, 2011 · Westlake, Oh
- F•••••• B•••• W••••• L•• unclassifiedMar 6, 2009 to Mar 13, 2009 · Cleveland, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 16, 2007 to Mar 12, 2009 · Westlake, Oh
- A• G• E•••••• • S•••• I••• unclassifiedJun 22, 2005 to Feb 23, 2007 · Westlake, Oh
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Jun 21, 2022, registered Jun 24, 2022 (3 days) · Affiliated broker-dealer or bank to independent RIA
- R•• C•••••• M••••••• L•• to S•••••• W••••• P•••••••• L••left Jan 13, 2011, registered Jan 6, 2011 (-7 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
- C•••••••• G••••• M•••••• I••• to F•••••• B•••• W••••• L••left Mar 12, 2009, registered Mar 6, 2009 (-6 days) · Other
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Feb 23, 2007, registered Mar 16, 2007 (21 days) · Other
- S•••••• E••••• W••••••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2022-06-24)Jun 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address