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.
L•••••• R••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 21, 2021 · Erie, Pa
- S••••••••• A•••••• A•••••••• I••• formerDec 10, 2013 to Jan 19, 2021 · Erie, Pa
- L•• F•••••••• L•• BD affiliatedAug 21, 2012 to Aug 14, 2013 · Chardon, Oh
- M••••• S•••••• wirehouseApr 20, 2011 to Oct 27, 2011 · Erie, Pa
- S••••••••• A•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 19, 2021, registered Jan 21, 2021 (2 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Aug 14, 2013, registered Dec 10, 2013 (118 days) · Other
- M••••• S•••••• to L•• F•••••••• L••left Oct 27, 2011, registered Aug 21, 2012 (299 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address