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••••• H••••• H•••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Jul 9, 2020 · Sandusky, Oh
- U•• F•••••••• S••••••• I••• wirehouseMar 17, 2015 to Jul 9, 2020 · Sylvania, Oh
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Feb 23, 2015 · Sandusky, Oh
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedNov 19, 2003 to Jul 5, 2011 · Norwalk, Oh
- M•• A••••••• F•••••••• M••••••••• I••• formerFeb 10, 2003 to Nov 17, 2003 · Sandusky, Oh
- U•• F•••••••• S••••••• I••• to K••••• P•••••• W••••• S•••••••• L••left Jul 9, 2020, registered Jul 9, 2020 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Feb 23, 2015, registered Mar 17, 2015 (22 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
- M•• A••••••• F•••••••• M••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Nov 17, 2003, registered Nov 19, 2003 (2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address