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.
M••••••• S•••••••• C••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 18, 2021 · Naples, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Oct 15, 2021 · Galion, Oh
- I••••••••• A••••••• S••••••• I•• formerNov 17, 2014 to Jul 17, 2020 · Galion, Oh
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerMar 23, 2009 to Dec 8, 2014 · Youngstown, Oh
- L•• F•••••••• L•• BD affiliatedDec 19, 2007 to Mar 24, 2009 · Galion, Oh
- N•• A•••••• S•••••••• L•• formerFeb 18, 2004 to Dec 20, 2007 · Galion, Oh
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 2, 2002 to Feb 19, 2004 · Mansfield, Oh
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Oct 15, 2021, registered Oct 18, 2021 (3 days) · Affiliated broker-dealer or bank to another
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to I••••••••• A••••••• S••••••• I••left Dec 8, 2014, registered Nov 17, 2014 (-21 days) · Other
- L•• F•••••••• L•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Mar 24, 2009, registered Mar 23, 2009 (-1 days) · Other
- N•• A•••••• S•••••••• L•• to L•• F•••••••• L••left Dec 20, 2007, registered Dec 19, 2007 (-1 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to N•• A•••••• S•••••••• L••left Feb 19, 2004, registered Feb 18, 2004 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address