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.
B••• D•••••••
- C••••••••• A•••• M••••••••• S•••••••• I••• former currentsince Aug 29, 2018 · Broadview Heights, Oh
- C••••••• S••••••••• I••• BD affiliatedJul 7, 2016 to Aug 24, 2018 · Maple Heights, Oh
- R••••• M••••• C•••••• M••••••••• L•• unclassifiedMay 26, 2011 to Oct 18, 2011 · Gates Mills, Oh
- R••••• M••••• C•••••• M••••••••• L•• unclassifiedMar 31, 2006 to May 28, 2009 · Gates Mills, Oh
- R••••• M••••• I••••••••• A•••••••• L•• unclassifiedMar 15, 2006 to Sep 9, 2009 · Willoughby, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDSep 19, 1999 to Feb 14, 2006 · Willoughby, Oh
- C••••••• S••••••••• I••• to C••••••••• A•••• M••••••••• S•••••••• I•••left Aug 24, 2018, registered Aug 29, 2018 (5 days) · Other
- R••••• M••••• C•••••• M••••••••• L•• to C••••••• S••••••••• I•••left Oct 18, 2011, registered Jul 7, 2016 (1724 days) · Other
- R••••• M••••• I••••••••• A•••••••• L•• to R••••• M••••• C•••••• M••••••••• L••left Sep 9, 2009, registered Mar 31, 2006 (-1258 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to R••••• M••••• I••••••••• A•••••••• L••left Feb 14, 2006, registered Mar 15, 2006 (29 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
- Former SEC-registered adviserderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address