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•••••• S•••• W••••••
- P••••••••• C•••••• A••••••• independent RIA currentsince Feb 21, 2012 · Westlake, Oh
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Feb 28, 2012 · Westlake, Oh
- M••••• S•••••• C••••••••• unclassifiedDec 7, 2004 to Sep 8, 2009 · Boston, Ma
- O•••• F•• I••• formerSep 12, 2002 to Dec 1, 2004 · Solon, Oh
- L•• F•••••••• L•• to P••••••••• C•••••• A•••••••left Feb 28, 2012, registered Feb 21, 2012 (-7 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
- O•••• F•• I••• to M••••• S•••••• C•••••••••left Dec 1, 2004, registered Dec 7, 2004 (6 days) · Other
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address