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.
W••••• S••••• W••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 7, 2019 · Beachwood, Oh
- W•••• F•••• A••••••• wirehouseFeb 26, 2010 to Jul 10, 2019 · Pepper Pike, Oh
- N•• F•••••••• P••••••• formerDec 7, 1999 to Mar 2, 2010 · Mayfield Heights, Oh
- O•••• W•••••• I••• BD affiliatedAug 19, 1999 to Mar 4, 2010 · Mayfield Hts, Oh
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 10, 2019, registered Jul 7, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O•••• W•••••• I••• to N•• F•••••••• P•••••••left Mar 4, 2010, registered Dec 7, 1999 (-3740 days) · Other
- N•• F•••••••• P••••••• to W•••• F•••• A•••••••left Mar 2, 2010, registered Feb 26, 2010 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address