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•••• L••• T•••••
- I••••••••• C•••••• C••• I••• independent RIA currentsince May 2, 2014 · Parma, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedApr 7, 2010 to Jan 30, 2012 · Warren, Oh
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Apr 6, 2010 · Niles, Oh
- M••••• S•••••• C••••••••• unclassifiedJan 11, 2007 to Sep 8, 2009 · Niles, Oh
- H••••••••• F•••••••• A••••••• to I••••••••• C•••••• C••• I•••left Jan 30, 2012, registered May 2, 2014 (823 days) · Other
- L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••left Apr 6, 2010, registered Apr 7, 2010 (1 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address