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.
J••••••• S•• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 11, 2022 · Fort Mill, Sc
- S•••••• W••••• P•••••••• L•• BD affiliatedApr 6, 2021 to Oct 3, 2022 · Beachwood, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedAug 8, 2016 to Jan 15, 2021 · Brooklyn, Oh
- P•• W••••• M••••••••• BD affiliatedApr 15, 2014 to Aug 8, 2016 · Cleveland, Oh
- V•••••• A•••••••• I••• BD affiliatedMay 9, 2013 to Apr 10, 2014 · Akron, Oh
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to May 13, 2009 · Akron, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedAug 27, 2004 to Feb 9, 2007 · Akron, Oh
- U•• F•••••••• S••••••• I••• wirehouseJul 13, 2004 to Sep 2, 2004 · Akron, Oh
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Oct 3, 2022, registered Oct 11, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA
- K•• I••••••••• S••••••• L•• to S•••••• W••••• P•••••••• L••left Jan 15, 2021, registered Apr 6, 2021 (81 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to K•• I••••••••• S••••••• L••left Aug 8, 2016, registered Aug 8, 2016 (0 days) · Other
- V•••••• A•••••••• I••• to P•• W••••• M•••••••••left Apr 10, 2014, registered Apr 15, 2014 (5 days) · Other
- U•• F•••••••• S••••••• I••• to V•••••• A•••••••• I•••left May 13, 2009, registered May 9, 2013 (1457 days) · Other
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to K•••••• C•••••• M•••••• I•••left Sep 2, 2004, registered Aug 27, 2004 (-6 days) · Other
- J••••••• S•• R••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2022-10-11)Oct 3, 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
- 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