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.
M••• T••••• K•••••
- H•• W••••• M••••••••• L•• independent RIA currentsince Jan 2, 2022 · Poland, Oh
- S••••• A••••••• I••• BD affiliatedFeb 23, 2017 to Feb 15, 2022 · Youngstown, Oh
- T••• W••••• D•••••• L•• independent RIAJul 8, 2010 to Sep 22, 2010 · Akron, Oh
- B••••••••• L•• formerJan 14, 2009 to Jul 7, 2010 · Poland, Oh
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to Sep 19, 2007 · Canfield, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedJan 18, 2006 to Feb 9, 2007 · Canfield, Oh
- S••••• A••••••• I••• to H•• W••••• M••••••••• L••left Feb 15, 2022, registered Jan 2, 2022 (-44 days) · Affiliated broker-dealer or bank to independent RIA
- T••• W••••• D•••••• L•• to S••••• A••••••• I•••left Sep 22, 2010, registered Feb 23, 2017 (2346 days) · Other
- B••••••••• L•• to T••• W••••• D•••••• L••left Jul 7, 2010, registered Jul 8, 2010 (1 days) · Other
- U•• F•••••••• S••••••• I••• to B••••••••• L••left Sep 19, 2007, registered Jan 14, 2009 (483 days) · Other
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move
- M••• T••••• K••••• left S••••• A••••••• I••• for H•• W••••• M••••••••• L•• (registered 2022-01-02)Feb 15, 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address