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.
M•••••• R•••••• F•••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 25, 2019 · Willoughby Hills, Oh
- T•••••••• A••••••• G••••• I••• BD affiliatedJul 17, 2018 to Mar 22, 2019 · Beachwood, Oh
- P•••• S••••••••• L•• no RAUMNov 15, 2013 to May 15, 2018 · Mayfield Heights, Oh
- T•••••••• A••••••• G••••• I••• to K••••• A••••••• S•••••••• L••left Mar 22, 2019, registered Feb 25, 2019 (-25 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to T•••••••• A••••••• G••••• I•••left May 15, 2018, registered Jul 17, 2018 (63 days) · Affiliated broker-dealer or bank to another
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address