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.
C••••••••• T••• M••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 14, 2025 · Cumberland, Md
- L•• F•••••••• L•• BD affiliatedDec 3, 2010 to Mar 19, 2025 · Grantsville, Md
- C••• W••••• M••••••••• L•• unclassifiedMay 24, 2010 to Dec 6, 2010 · Cleveland, Oh
- C••• R••••••••• P••• A••••••• S••••••• institutionalJan 29, 2001 to Dec 6, 2010 · Cleveland, Oh
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Mar 19, 2025, registered Mar 14, 2025 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- C••• W••••• M••••••••• L•• to L•• F•••••••• L••left Dec 6, 2010, registered Dec 3, 2010 (-3 days) · Other
- C••• R••••••••• P••• A••••••• S••••••• to C••• W••••• M••••••••• L••left Dec 6, 2010, registered May 24, 2010 (-196 days) · Other
- C••••••••• T••• M•••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-03-14)Mar 19, 2025 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address