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.
K•••• H• G••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Twinsburg, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 26, 2022 to Mar 31, 2025 · Covington, Ky
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 20, 2019 to Aug 10, 2021 · Twinsburg, Oh
- P•• W••••• M••••••••• BD affiliatedMar 23, 2017 to Jul 2, 2019 · Cleveland, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedMay 23, 2016 to Mar 9, 2017 · Independence, Oh
- L••••••••• W••••• A••••••• independent RIANov 23, 2015 to May 23, 2016 · Valley View, Oh
- C•••••• S••••• • C••• I••• national BDAug 9, 2005 to Oct 16, 2015 · Richfield, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedApr 13, 2004 to Sep 15, 2004 · Cleveland, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 16, 2003 to Feb 24, 2004 · Independence , Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 10, 2021, registered Jan 26, 2022 (169 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to A••••••• F•••••••• A•••••••• L••left Jul 2, 2019, registered Sep 20, 2019 (80 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Mar 9, 2017, registered Mar 23, 2017 (14 days) · Other
- L••••••••• W••••• A••••••• to V•••• F•••••••• A•••••••• I•••left May 23, 2016, registered May 23, 2016 (0 days) · Other
- C•••••• S••••• • C••• I••• to L••••••••• W••••• A•••••••left Oct 16, 2015, registered Nov 23, 2015 (38 days) · Other
- K•••••• C•••••• M•••••• I••• to C•••••• S••••• • C••• I•••left Sep 15, 2004, registered Aug 9, 2005 (328 days) · Other
- V•••• F•••••••• A•••••••• I••• to K•••••• C•••••• M•••••• I•••left Feb 24, 2004, registered Apr 13, 2004 (49 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address