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.
A•••••• J••••• S••••
- I••••••••• C•••••• C••• I••• independent RIA currentsince Feb 11, 2021 · Willoughby, Oh
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJan 15, 2018 to Jun 30, 2020 · Ashtabula, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedDec 21, 2016 to Dec 6, 2017 · Cleveland, Oh
- N•••••• I••••••••• I••• unclassifiedApr 15, 2002 to Jan 28, 2005 · Cleveland, Oh
- A••••••• F•••••••• A•••••••• L•• to I••••••••• C•••••• C••• I•••left Jun 30, 2020, registered Feb 11, 2021 (226 days) · Affiliated broker-dealer or bank to independent RIA
- K•• I••••••••• S••••••• L•• to A••••••• F•••••••• A•••••••• L••left Dec 6, 2017, registered Jan 15, 2018 (40 days) · Other
- N•••••• I••••••••• I••• to K•• I••••••••• S••••••• L••left Jan 28, 2005, registered Dec 21, 2016 (4345 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address