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.
- E••••• J•••• national BD currentsince Nov 24, 2020 · Chardon, Oh
- E•••••••• A•••••••• L•• national BDMar 6, 2020 to Nov 24, 2020 · Macedonia, Oh
- M••••• S•••••• wirehouseAug 3, 2011 to Jun 5, 2014 · Cleveland, Oh
- J••• H•••••• I••••••••• M••••••••• L•• asset managerDec 5, 2008 to Nov 2, 2010 · Macedonia, Oh
- J••• H•••••• D••••••••• L•• unclassifiedSep 23, 2005 to Dec 31, 2006 · Macedonia, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 7, 2000 to Aug 3, 2005 · Akron, Oh
- E•••••••• A•••••••• L•• to E••••• J••••left Nov 24, 2020, registered Nov 24, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to E•••••••• A•••••••• L••left Jun 5, 2014, registered Mar 6, 2020 (2101 days) · Wirehouse to affiliated broker-dealer or bank
- J••• H•••••• I••••••••• M••••••••• L•• to M••••• S••••••left Nov 2, 2010, registered Aug 3, 2011 (274 days) · Other
- J••• H•••••• D••••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Dec 31, 2006, registered Dec 5, 2008 (705 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• H•••••• D••••••••• L••left Aug 3, 2005, registered Sep 23, 2005 (51 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address