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.
H••••• S••••• M••••
- A•••••• A•••••••• L•• state registered currentsince Sep 13, 2018 · Hudson, Oh
- C••••• A••••••• L•• former sec a••••••Aug 29, 2007 to Jul 17, 2018 · Boardman, Oh
- E•••••••• A•••••••• L•• national BDJun 1, 2005 to Mar 12, 2007 · Independence, Oh
- M••• S••••••••• C••••••••• unclassifiedMar 27, 2002 to Jun 1, 2005 · Independence, Oh
- C••••• A••••••• L•• to A•••••• A•••••••• L••left Jul 17, 2018, registered Sep 13, 2018 (58 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E•••••••• A•••••••• L•• to C••••• A••••••• L••left Mar 12, 2007, registered Aug 29, 2007 (170 days) · Other
- M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••left Jun 1, 2005, registered Jun 1, 2005 (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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address