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.
G•• J•••• M•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 27, 2022 · Westlake, Oh
- U••• B•••••• I••••••••• I••• formerJan 6, 2014 to Sep 30, 2022 · Cleveland, Oh
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jan 6, 2014 · Sheffield Village, Oh
- N•••••• I••••••••• I••• unclassifiedFeb 27, 2003 to Nov 13, 2009 · Ashland, Oh
- E•••••••• A•••••••• L•• national BDJan 23, 2003 to Feb 21, 2003 · Cleveland , Oh
- U••• B•••••• I••••••••• I••• to R•• C•••••• M••••••• L••left Sep 30, 2022, registered Sep 27, 2022 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Jan 6, 2014, registered Jan 6, 2014 (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
- E•••••••• A•••••••• L•• to N•••••• I••••••••• I•••left Feb 21, 2003, registered Feb 27, 2003 (6 days) · Other
- G•• J•••• M••••••• left U••• B•••••• I••••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-09-27)Sep 30, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address