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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 16, 2018 · Chagrin Falls, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 13, 2014 · Cleveland, Oh
- M••••• S•••••• • C•• L•• unclassifiedJun 3, 2008 to Jun 1, 2009 · Cleveland, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 23, 2008 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 21, 2000 to Feb 21, 2006 · Cleveland, Oh
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 13, 2014, registered Jul 16, 2018 (1645 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Jun 23, 2008, registered Jun 3, 2008 (-20 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- Wirehousederived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address