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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 25, 2013 · Westlake, Oh
- A•••••••• I••••••••• M••••••••• L•• formerAug 22, 2012 to Sep 19, 2013 · Elyria, Oh
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 4, 2010 to Jul 31, 2012 · Elyria, Oh
- E•••••••• A•••••••• L•• national BDMar 31, 2009 to Nov 6, 2009 · Independence, Oh
- A•••••••• I••••••••• M••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 19, 2013, registered Sep 25, 2013 (6 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Jul 31, 2012, registered Aug 22, 2012 (22 days) · Other
- E•••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 6, 2009, registered Oct 4, 2010 (332 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address