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.
D••••• B•••• C•••••
- E•••••••• A•••••••• L•• national BD currentsince Sep 25, 2017 · Broadview Heights, Oh
- R•••••• W••••• independent RIAApr 1, 2010 to Apr 12, 2016 · Westlake, Oh
- W••••••••• F•••••••• G••••• I••• unclassifiedMay 27, 2004 to Aug 24, 2009 · Westlake, Oh
- W• G••••••• S••••••••• I••• unclassifiedJan 3, 2000 to May 27, 2004 · Cleveland, Oh
- R•••••• W••••• to E•••••••• A•••••••• L••left Apr 12, 2016, registered Sep 25, 2017 (531 days) · Other · moved with a team
- W••••••••• F•••••••• G••••• I••• to R•••••• W•••••left Aug 24, 2009, registered Apr 1, 2010 (220 days) · Other
- W• G••••••• S••••••••• I••• to W••••••••• F•••••••• G••••• I•••left May 27, 2004, registered May 27, 2004 (0 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address