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.
K••••••• H•••• M•••••••
- A••••• I••••••••• C••••••••• independent RIA currentsince Jun 5, 2023 · Carmel, In
- J•••• M• O•••• W••••• M••••••••• L•• unclassifiedJan 3, 2017 to Dec 31, 2020 · Westlake, Oh
- J•••• M• O•••• W••••• M••••••••• L•• unclassifiedJan 3, 2017 to Aug 23, 2023 · Westlake, Oh
- S•• I••••••••• I••• formerOct 3, 2014 to Jan 4, 2017 · Fairview Park, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Oct 8, 2014 · Westlake, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedMar 2, 2009 to Oct 5, 2009 · Westlake, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 12, 2005 to Feb 26, 2009 · Westlake, Oh
- J•••• M• O•••• W••••• M••••••••• L•• to A••••• I••••••••• C•••••••••left Aug 23, 2023, registered Jun 5, 2023 (-79 days) · Other · moved with a team
- S•• I••••••••• I••• to J•••• M• O•••• W••••• M••••••••• L••left Jan 4, 2017, registered Jan 3, 2017 (-1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•• I••••••••• I•••left Oct 8, 2014, registered Oct 3, 2014 (-5 days) · Other
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Feb 26, 2009, registered Mar 2, 2009 (4 days) · Other
- K••••••• H•••• M••••••• left J•••• M• O•••• W••••• M••••••••• L•• for A••••• I••••••••• C••••••••• (registered 2023-06-05)Aug 23, 2023 · a•••••• firm change · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address