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.
- M••••• S•••••• wirehouse currentsince Mar 31, 2015 · Chicago, Il
- W•••• F•••• A••••••• wirehouseNov 22, 2013 to Mar 23, 2015 · Cleveland, Oh
- M••••• S•••••• wirehouseAug 17, 2011 to Nov 25, 2013 · Pepper Pike, Oh
- R•••••• J•••• • A••••••••• I••• national BDOct 6, 2005 to Jul 6, 2011 · Rochester, Ny
- W•••• F•••• A••••••• to M••••• S••••••left Mar 23, 2015, registered Mar 31, 2015 (8 days) · Wirehouse to wirehouse
- M••••• S•••••• to W•••• F•••• A•••••••left Nov 25, 2013, registered Nov 22, 2013 (-3 days) · Wirehouse to wirehouse
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Jul 6, 2011, registered Aug 17, 2011 (42 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address