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.
K•••• T• R••••••
- E•••• S••••••••• L•• BD affiliated currentsince Nov 29, 2023 · Independence, Oh
- C••••• A•••••• N••••••• L•• formerJul 20, 2020 to Sep 2, 2022 · Novelty, Oh
- N••••••••• S••••••••• L•• no RAUMJun 25, 2009 to Jul 1, 2020 · Novelty, Oh
- U•• F•••••••• S••••••• I••• wirehouseNov 29, 2002 to Jul 29, 2005 · Cleveland, Oh
- C••••• A•••••• N••••••• L•• to E•••• S••••••••• L••left Sep 2, 2022, registered Nov 29, 2023 (453 days) · Affiliated broker-dealer or bank to another
- N••••••••• S••••••••• L•• to C••••• A•••••• N••••••• L••left Jul 1, 2020, registered Jul 20, 2020 (19 days) · Other
- U•• F•••••••• S••••••• I••• to N••••••••• S••••••••• L••left Jul 29, 2005, registered Jun 25, 2009 (1427 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- K•••• T• R•••••• left C••••• A•••••• N••••••• L•• for E•••• S••••••••• L•• (registered 2023-11-29)Sep 2, 2022 · a•••••• firm change · fact
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address