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••••• M•••• S••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 14, 2016 · Cincinnati, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 9, 2013 to Oct 31, 2016 · Richfield, Oh
- J••••• M••••••••• S•••• L•• BD affiliatedJun 25, 2005 to Aug 12, 2013 · Cleveland, Oh
- P••••••••• I••••••••• unclassifiedMay 9, 2005 to Jun 25, 2005 · Cleveland, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 31, 2016, registered Oct 14, 2016 (-17 days) · Other · moved with a team
- J••••• M••••••••• S•••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 12, 2013, registered Aug 9, 2013 (-3 days) · Other
- P••••••••• I••••••••• to J••••• M••••••••• S•••• L••left Jun 25, 2005, registered Jun 25, 2005 (0 days) · corporate re-registration, 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address