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.
S•••• E• D••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Apr 6, 2017 · Cleveland, Oh
- B• R•••• W••••• M••••••••• formerFeb 24, 2014 to Mar 31, 2017 · Mentor, Oh
- M••••••• P••••••• L•• independent RIADec 7, 2012 to Feb 24, 2014 · Cleveland, Oh
- W•••• F•••• A••••••• wirehouseMar 8, 2011 to Dec 11, 2012 · Cleveland, Oh
- N•• E•••••• S••••••••• C••••••••• formerMay 24, 2005 to Mar 9, 2011 · Westlake, Oh
- B• R•••• W••••• M••••••••• to M•• I•••••••• S•••••••• L••left Mar 31, 2017, registered Apr 6, 2017 (6 days) · Other
- M••••••• P••••••• L•• to B• R•••• W••••• M•••••••••left Feb 24, 2014, registered Feb 24, 2014 (0 days) · Other
- W•••• F•••• A••••••• to M••••••• P••••••• L••left Dec 11, 2012, registered Dec 7, 2012 (-4 days) · Other
- N•• E•••••• S••••••••• C••••••••• to W•••• F•••• A•••••••left Mar 9, 2011, registered Mar 8, 2011 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address