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••••• M•••••• K••••••
- A•••••• A•••••••• L•• state registered currentsince May 18, 2018 · Commercial Point, Oh
- S••••• W••••• P•••••••• L•• independent RIAJan 3, 2017 to Jun 11, 2018 · Commercial Point, Oh
- C•••••• A••••••• S•••••••• L•• independent RIAJan 2, 2014 to Jun 7, 2018 · Commercial Point, Oh
- A•••• C•••••• M••••••••• unclassifiedFeb 25, 2013 to Dec 2, 2013 · Lewis Center, Oh
- S••••• W••••• P•••••••• L•• to A•••••• A•••••••• L••left Jun 11, 2018, registered May 18, 2018 (-24 days) · RIA to a state-registered adviser
- C•••••• A••••••• S•••••••• L•• to S••••• W••••• P•••••••• L••left Jun 7, 2018, registered Jan 3, 2017 (-520 days) · Other
- A•••• C•••••• M••••••••• to C•••••• A••••••• S•••••••• L••left Dec 2, 2013, registered Jan 2, 2014 (31 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address