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.
R••••• A•••••• B•••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Feb 28, 2025 · Avon, Oh
- S•••••••• I••••••••• S••••••••• I••• independent RIAJun 10, 2021 to May 29, 2025 · Avon, Oh
- S•••••• W••••• P•••••••• L•• BD affiliatedJul 20, 2011 to Jun 1, 2021 · Lorain, Oh
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Jul 19, 2011 · Avon, Oh
- P•••••• P•••••••• M••••••••• L•• formerApr 12, 2007 to Dec 31, 2009 · Lansing, Mi
- W••••••••• F•••••••• G••••• I••• unclassifiedFeb 2, 2006 to Sep 8, 2009 · Lorain, Oh
- S•••••••• I••••••••• S••••••••• I••• to S•••••• W••••• P•••••••• L••left May 29, 2025, registered Feb 28, 2025 (-90 days) · RIA to affiliated broker-dealer or bank
- S•••••• W••••• P•••••••• L•• to S•••••••• I••••••••• S••••••••• I•••left Jun 1, 2021, registered Jun 10, 2021 (9 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Jul 19, 2011, registered Jul 20, 2011 (1 days) · Other
- P•••••• P•••••••• M••••••••• L•• to L•• F•••••••• L••left Dec 31, 2009, registered Sep 8, 2009 (-114 days) · Other
- W••••••••• F•••••••• G••••• I••• to P•••••• P•••••••• M••••••••• L••left Sep 8, 2009, registered Apr 12, 2007 (-880 days) · Other
- R••••• A•••••• B••• left S•••••••• I••••••••• S••••••••• I••• for S•••••• W••••• P•••••••• L•• (registered 2025-02-28)May 29, 2025 · Advisor changed firm · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address