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••••• B•••• E•••••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Dec 21, 2018 · Orlando, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 18, 2011 to Nov 1, 2018 · Pepper Pike, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 25, 1997 to Nov 15, 2011 · Pepper Pike, Oh
- S•••••• N••••••• • C••••••• I••••••••• to I••••••••• A••••• I••••••••• M••••••••• L••left Nov 1, 2018, registered Dec 21, 2018 (50 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 15, 2011, registered Nov 18, 2011 (3 days) · Wirehouse to affiliated broker-dealer or bank
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