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.
A•••••• J•••• C•••••••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Nov 1, 2018 · Concord, Oh
- F•••••••• E••••• S•••••••• I••• formerJan 4, 2011 to Nov 6, 2018 · Concord, Oh
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerMay 7, 2007 to Dec 31, 2010 · Mentor, Oh
- M•• F•••••••• S•••••••• I••• formerMay 5, 2003 to Aug 30, 2006 · Broadview Heights, Oh
- S••••••• I••••••••• I••• formerJan 21, 2003 to Apr 24, 2003 · Independence, Oh
- F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••left Nov 6, 2018, registered Nov 1, 2018 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to F•••••••• E••••• S•••••••• I•••left Dec 31, 2010, registered Jan 4, 2011 (4 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Aug 30, 2006, registered May 7, 2007 (250 days) · Other
- S••••••• I••••••••• I••• to M•• F•••••••• S•••••••• I•••left Apr 24, 2003, registered May 5, 2003 (11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address