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••• S••••• V•••••
- O•••••••• C•••••• M••••••••• L•• independent RIA currentsince Nov 18, 2016 · Fairlawn, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Nov 21, 2016 · Pepper Pike, Oh
- A•••••• I••• unclassifiedJan 19, 2005 to Mar 8, 2006 · Beachwood, Oh
- R•••••• J•••• • A••••••••• I••• national BDFeb 8, 2001 to Jan 7, 2005 · Cleveland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••••••• C•••••• M••••••••• L••left Nov 21, 2016, registered Nov 18, 2016 (-3 days) · Wirehouse to independent RIA
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to A•••••• I•••left Jan 7, 2005, registered Jan 19, 2005 (12 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address