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.
D•••••• L••• G•••••
- B••••• F•••••••• A••••••• L•• independent RIA currentsince Apr 17, 2015 · Cleveland, Oh
- C•••••• A••••••• BD affiliated currentsince Jun 5, 2012 · Cleveland, Oh
- C••••••••• A•••••••• I•• formerApr 26, 2010 to Jun 1, 2012 · Cleveland, Oh
- S•••••• M••••• L•• independent RIAMay 3, 2007 to May 21, 2010 · Beachwood, Oh
- O•••• F•• I••• formerMay 10, 2004 to Apr 17, 2007 · Cleveland, Oh
- C••••••••• A•••••••• I•• to C•••••• A•••••••left Jun 1, 2012, registered Jun 5, 2012 (4 days) · Other
- S•••••• M••••• L•• to C••••••••• A•••••••• I••left May 21, 2010, registered Apr 26, 2010 (-25 days) · Other
- O•••• F•• I••• to S•••••• M••••• L••left Apr 17, 2007, registered May 3, 2007 (16 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address