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.
L•••• K•• S•••• L•
- S•• A•••••••• I••• state registered currentsince Oct 18, 2020 · Columbus, Oh
- C••••• A••••••• L•• formerFeb 1, 2011 to Oct 15, 2020 · Boardman, Oh
- X•••• F•••••••• G••••• I••• unclassifiedJan 11, 2008 to Mar 15, 2010 · Canton, Oh
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJan 28, 2004 to Dec 31, 2007 · Canton, Oh
- C••••• A••••••• L•• to S•• A•••••••• I•••left Oct 15, 2020, registered Oct 18, 2020 (3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- X•••• F•••••••• G••••• I••• to C••••• A••••••• L••left Mar 15, 2010, registered Feb 1, 2011 (323 days) · Other
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to X•••• F•••••••• G••••• I•••left Dec 31, 2007, registered Jan 11, 2008 (11 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address