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••••• C••••• R•••••
- M•• C•••••• M••••••••• L•• independent RIA currentsince Sep 6, 2022 · Cleveland, Oh
- M••••••• P••••••• L•• independent RIAJun 14, 2021 to Aug 10, 2022 · Cleveland, Oh
- C••• L•• BD affiliatedNov 6, 2018 to Apr 16, 2019 · Green Bay, Wi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 5, 2014 to Nov 16, 2018 · Green Bay, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 9, 2012 to May 8, 2012 · Green Bay, Wi
- H••• S••••••••• •••• I••• BD affiliatedOct 1, 2009 to Aug 30, 2010 · Buffalo, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 26, 2008 to Sep 21, 2009 · Buffalo, Ny
- M••••••• P••••••• L•• to M•• C•••••• M••••••••• L••left Aug 10, 2022, registered Sep 6, 2022 (27 days) · RIA to RIA · moved with a team
- C••• L•• to M••••••• P••••••• L••left Apr 16, 2019, registered Jun 14, 2021 (790 days) · RIA to RIA
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••• L••left Nov 16, 2018, registered Nov 6, 2018 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 8, 2012, registered May 5, 2014 (727 days) · Other
- H••• S••••••••• •••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 30, 2010, registered Jan 9, 2012 (497 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Sep 21, 2009, registered Oct 1, 2009 (10 days) · Other
- D••••• C••••• R••••• left M••••••• P••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2022-09-06)Aug 10, 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address