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.
T••••• G••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 26, 2019 · New York, Ny
- R•• C•••••• M••••••• L•• national BDJan 3, 2019 to Feb 26, 2019 · Westlake, Oh
- S•••••••• I••••••••• M••••••••• formerDec 23, 2016 to Apr 2, 2018 · Saint Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Jan 13, 2012 · Mayfield, Oh
- A••••••••• A•••••• S•••••••• I••• unclassifiedNov 9, 2006 to Oct 5, 2009 · Mayfield, Oh
- T• A••••••••• I••• formerApr 30, 2003 to Jul 27, 2005 · Woodmere, Oh
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2019, registered Sep 26, 2019 (212 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• I••••••••• M••••••••• to R•• C•••••• M••••••• L••left Apr 2, 2018, registered Jan 3, 2019 (276 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• I••••••••• M•••••••••left Jan 13, 2012, registered Dec 23, 2016 (1806 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
- T• A••••••••• I••• to A••••••••• A•••••• S•••••••• I•••left Jul 27, 2005, registered Nov 9, 2006 (470 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address