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.
S•••• M•••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 1, 2022 · Chagrin Falls, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 15, 2005 to Nov 3, 2022 · Lyndhurst, Oh
- Q•••• • R•••••• I••• unclassifiedMay 12, 2003 to Jul 9, 2004 · Cleveland, Oh
- P••••••••• E••••• G••••• L•• unclassifiedOct 28, 1999 to May 9, 2003 · Mayfield Heights, Oh
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Nov 3, 2022, registered Nov 1, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- Q•••• • R•••••• I••• to F•••• T•••• S••••••••• I•••left Jul 9, 2004, registered Feb 15, 2005 (221 days) · Other
- P••••••••• E••••• G••••• L•• to Q•••• • R•••••• I•••left May 9, 2003, registered May 12, 2003 (3 days) · Other
- S•••• M•••••• M•••• left F•••• T•••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-01)Nov 3, 2022 · Advisor changed firm · fact
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