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.
A••••• L•• S•••••••••
- D•••••• W••••• P•••••••• L•• independent RIA currentsince May 5, 2023 · Cincinnati, Oh
- W•••• F•••• A••••••• wirehouseFeb 10, 2003 to May 15, 2023 · Pepper Pike, Oh
- C••• P•••••• W••••• A•••••••• I••• BD affiliatedFeb 21, 2002 to Dec 13, 2002 · Cleveland, Oh
- W•••• F•••• A••••••• to D•••••• W••••• P•••••••• L••left May 15, 2023, registered May 5, 2023 (-10 days) · Wirehouse to independent RIA · moved with a team
- C••• P•••••• W••••• A•••••••• I••• to W•••• F•••• A•••••••left Dec 13, 2002, registered Feb 10, 2003 (59 days) · Other
- A••••• L•• S••••••••• left W•••• F•••• A••••••• for D•••••• W••••• P•••••••• L•• (registered 2023-05-05)May 15, 2023 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address