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••• C•••••• L••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 20, 2014 · Westlake, Oh
- M••••••• P••••••• L•• independent RIAJun 3, 2009 to Feb 21, 2014 · Cleveland, Oh
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to Jun 4, 2009 · Cleveland, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedOct 18, 1999 to Feb 9, 2007 · Cleveland, Oh
- M••••••• P••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 21, 2014, registered Feb 20, 2014 (-1 days) · Other
- U•• F•••••••• S••••••• I••• to M••••••• P••••••• L••left Jun 4, 2009, registered Jun 3, 2009 (-1 days) · Other
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address