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•••• J••• D•••••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Sep 16, 2022 · Brooklyn, Oh
- L•• F•••••••• L•• BD affiliatedJun 26, 2018 to Jun 14, 2022 · Shaker Heights, Oh
- P•• W••••• M••••••••• BD affiliatedDec 6, 2012 to May 2, 2017 · Fort Wayne, In
- I••••• F•••••••• C••••••••• formerJun 1, 2012 to Nov 23, 2012 · Appleton, Wi
- C••• B•••••••• S•••••••• I••• formerOct 8, 2003 to Jun 5, 2012 · Fort Wayne, In
- B••• O•• S••••••••• C••••••••• unclassifiedOct 24, 2001 to Sep 3, 2003 · Fort Wayne, In
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Jun 14, 2022, registered Sep 16, 2022 (94 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to L•• F•••••••• L••left May 2, 2017, registered Jun 26, 2018 (420 days) · Other · moved with a team
- I••••• F•••••••• C••••••••• to P•• W••••• M•••••••••left Nov 23, 2012, registered Dec 6, 2012 (13 days) · Other
- C••• B•••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jun 5, 2012, registered Jun 1, 2012 (-4 days) · Other
- B••• O•• S••••••••• C••••••••• to C••• B•••••••• S•••••••• I•••left Sep 3, 2003, registered Oct 8, 2003 (35 days) · Other
- D•••• J••• D••••••• left L•• F•••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2022-09-16)Jun 14, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address