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.
B•••• T••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Hudson, Oh
- S•• I••••••••• I••• formerNov 13, 2013 to Feb 15, 2018 · Hudson, Oh
- F•••• A••••• A••••••• S•••••••• I••• formerJan 3, 2007 to Nov 19, 2013 · Hudson, Oh
- F•• A••••••• S••••••• I•• unclassifiedAug 16, 1999 to May 24, 2007 · Hudson, Oh
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- F•••• A••••• A••••••• S•••••••• I••• to S•• I••••••••• I•••left Nov 19, 2013, registered Nov 13, 2013 (-6 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left May 24, 2007, registered Jan 3, 2007 (-141 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address