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•• S•••••
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliated currentsince Sep 19, 2022 · Vienna, Va
- L•• F•••••••• L•• BD affiliatedJun 15, 2020 to Sep 19, 2022 · Hampstead, Nc
- P•••••• A•••••• G••••• L•• BD affiliatedOct 30, 2017 to Jun 10, 2020 · Struthers, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Oct 30, 2017 · Canfield, Oh
- N•••••• I••••••••• I••• unclassifiedJul 24, 2007 to Nov 13, 2009 · Campbell, Oh
- 1••• C•••••• M••••••••• C•••••• unclassifiedFeb 15, 2006 to Apr 5, 2007 · Boardman, Oh
- L•• F•••••••• L•• to N••• F•••••• I••••••••• S•••••••• L••left Sep 19, 2022, registered Sep 19, 2022 (0 days) · RIA to affiliated broker-dealer or bank
- P•••••• A•••••• G••••• L•• to L•• F•••••••• L••left Jun 10, 2020, registered Jun 15, 2020 (5 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to P•••••• A•••••• G••••• L••left Oct 30, 2017, registered Oct 30, 2017 (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
- 1••• C•••••• M••••••••• C•••••• to N•••••• I••••••••• I•••left Apr 5, 2007, registered Jul 24, 2007 (110 days) · Other
- M•••••• R•• S••••• left L•• F•••••••• L•• for N••• F•••••• I••••••••• S•••••••• L•• (registered 2022-09-19)Sep 19, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address