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••••• S• M••••
- C•••••••• R••••••••• P••••••• L•• state registered currentsince Apr 24, 2020 · Westlake, Oh
- O•••• F•• I••• formerSep 6, 2016 to Apr 21, 2020 · Westlake, Oh
- S••••••••• A•••••• A•••••••• I••• formerJun 1, 2012 to Sep 14, 2016 · Mayfield Heights, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jun 1, 2012 · C••••••••, Oh
- N•••••• I••••••••• I••• unclassifiedJun 29, 2006 to Nov 13, 2009 · Brookpark, Oh
- N•••••• I••••••••• I••• unclassifiedJul 26, 2004 to Dec 31, 2005 · C••••••••, Oh
- L•• F•••••••• L•• BD affiliatedMar 11, 2003 to Jul 2, 2004 · Westlake, Oh
- O•••• F•• I••• to C•••••••• R••••••••• P••••••• L••left Apr 21, 2020, registered Apr 24, 2020 (3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S••••••••• A•••••• A•••••••• I••• to O•••• F•• I•••left Sep 14, 2016, registered Sep 6, 2016 (-8 days) · Other
- P•• W••••• M••••••••• to S••••••••• A•••••• A•••••••• I•••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to N•••••• I••••••••• I•••left Jul 2, 2004, registered Jul 26, 2004 (24 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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address