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•••• A•••••• I••••
- P•• W••••• M••••••••• BD affiliated currentsince Nov 13, 2009 · Akron, Oh
- N•••••• I••••••••• I••• unclassifiedJan 25, 2008 to Nov 13, 2009 · Cuyahoga Falls, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 26, 2006 to Jun 1, 2006 · Orlando, Fl
- T• A••••••••• I••• formerJul 10, 2003 to Jun 1, 2006 · Winter Park, Fl
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to N•••••• I••••••••• I•••left Jun 1, 2006, registered Jan 25, 2008 (603 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 1, 2006, registered Apr 26, 2006 (-36 days) · channel change inside one enterprise, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address