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.
N•••• L•••••• P••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 28, 2014 · Fairlawn, Oh
- D••••••••• I••• formerNov 21, 2011 to Mar 31, 2014 · Fairlawn, Oh
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 8, 2011 · Akron, Oh
- A• G• E•••••• • S•••• I••• unclassifiedOct 25, 2002 to Jan 1, 2008 · Fairlawn, Oh
- D••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 31, 2014, registered Mar 28, 2014 (-3 days) · Other
- W•••• F•••• A••••••• to D••••••••• I•••left Aug 8, 2011, registered Nov 21, 2011 (105 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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