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••••• L••• L••••••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 30, 2016 · Akron, Oh
- C•••••• A••••••• BD affiliatedFeb 25, 2016 to Sep 1, 2016 · Akron, Oh
- L•••••• I••••••••• independent RIAFeb 9, 2016 to Sep 1, 2016 · Akron, Oh
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Feb 4, 2016 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerOct 5, 2006 to Jan 30, 2015 · Akron, Oh
- F•••• M•••••• S••••••••• C•••• unclassifiedNov 17, 2003 to Feb 16, 2006 · Uniontown, Oh
- U•• F•••••••• S••••••• I••• wirehouseAug 27, 2002 to Nov 26, 2003 · Akron, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 1999 to Aug 30, 2002 · Canton, Oh
- L•••••• I••••••••• to C•••••• A•••••••left Sep 1, 2016, registered Feb 25, 2016 (-189 days) · Other · moved with a team
- C•••••• A••••••• to O•••• W•••••• I•••left Sep 1, 2016, registered Aug 30, 2016 (-2 days) · Other
- S••••• A••••••• I••• to L•••••• I•••••••••left Feb 4, 2016, registered Feb 9, 2016 (5 days) · Other
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- F•••• M•••••• S••••••••• C•••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Feb 16, 2006, registered Oct 5, 2006 (231 days) · Other
- U•• F•••••••• S••••••• I••• to F•••• M•••••• S••••••••• C••••left Nov 26, 2003, registered Nov 17, 2003 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 30, 2002, registered Aug 27, 2002 (-3 days) · Wirehouse to wirehouse
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