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.
S••••• L••••••• E••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 29, 2026 · Maumee, Oh
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Feb 3, 2006 · Toledo, Oh
- N•••••• I••••••••• I••• unclassifiedApr 8, 2003 to Dec 15, 2005 · Rochester, Mi
- M••••• S•••••• D• I••• unclassifiedMar 14, 2001 to Apr 1, 2003 · Perrysburg, Oh
- N•••••• I••••••••• I••• to H••••••••• F•••••••• A•••••••left Dec 15, 2005, registered Feb 3, 2006 (50 days) · Other
- M••••• S•••••• D• I••• to N•••••• I••••••••• I•••left Apr 1, 2003, registered Apr 8, 2003 (7 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