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.
J••••• R• L••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 11, 2023 · Beachwood, Oh
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 9, 2022 to Feb 8, 2023 · Beachwood, Oh
- C••••••• • C••• I••• formerMar 4, 2022 to Feb 14, 2023 · Malden, Ma
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 2, 2021 · Coral Gables, Fl
- P••••••••• E••••• G••••• L•• unclassifiedSep 12, 1999 to Jul 1, 2003 · Cleveland, Oh
- C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 14, 2023, registered Dec 9, 2022 (-67 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Feb 8, 2023, registered Apr 11, 2023 (62 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••••• • C••• I•••left Aug 2, 2021, registered Mar 4, 2022 (214 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- J••••• R• L•••• left C••••••• • C••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-12-09)Feb 14, 2023 · Advisor changed firm · fact
- J••••• R• L•••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-04-11)Feb 8, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address