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.
A•• M•••• I••••
- S••••• A••••••• I••• BD affiliated currentsince Jan 30, 2015 · North Royalton, Oh
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerFeb 4, 2010 to Jan 30, 2015 · North Royalton, Oh
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 9, 2008 to Feb 4, 2010 · Medina, Oh
- N•••••• I••••••••• I••• unclassifiedJul 14, 2004 to Jan 4, 2008 · Cleveland, Oh
- 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
- T••••••• I••••••••• M••••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Feb 4, 2010, registered Feb 4, 2010 (0 days) · Other
- N•••••• I••••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Jan 4, 2008, registered Jan 9, 2008 (5 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address