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••• J•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 23, 2015 · Beachwood, Oh
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Aug 13, 2010 · Beachwood, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Mar 4, 2009 · Cleveland, Oh
- J••• M••••• S••••••••• I••• unclassifiedOct 26, 2007 to Oct 1, 2008 · Cleveland, Oh
- J••• M••••• S••••••••• L•• to S•••••• W••••• P•••••••• L••left Mar 4, 2009, registered Aug 13, 2010 (527 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address