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•••• S••••• L••••••
- N•••••• A••••••• BD affiliated currentsince Nov 1, 2021 · Cleveland, Oh
- M•• A••••••• F•••••••• M••••••••• I••• formerOct 23, 2019 to Nov 1, 2021 · Pittsburgh, Pa
- H••••••••• F•••••••• A••••••• BD affiliatedFeb 1, 2017 to Aug 12, 2019 · Broadview Heights, Oh
- L•• F•••••••• L•• BD affiliatedSep 18, 2013 to Feb 1, 2017 · Cleveland, Oh
- F••••••••• A•••••••• I••• unclassifiedFeb 6, 2012 to Sep 18, 2013 · Broadview Heights, Oh
- P•••• S••••••••• L•• no RAUMApr 27, 2011 to Jan 30, 2012 · Mayfield Heights, Oh
- M•• F•••••••• S•••••••• I••• formerJun 10, 2005 to Dec 5, 2009 · Broadview Heights, Oh
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- H••••••••• F•••••••• A••••••• to M•• A••••••• F•••••••• M••••••••• I•••left Aug 12, 2019, registered Oct 23, 2019 (72 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••left Feb 1, 2017, registered Feb 1, 2017 (0 days) · corporate re-registration, not a move
- F••••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 18, 2013, registered Sep 18, 2013 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to F••••••••• A•••••••• I•••left Jan 30, 2012, registered Feb 6, 2012 (7 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Dec 5, 2009, registered Apr 27, 2011 (508 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address