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••••• M•••••• M•••••
- E•••••••• A•••••••• L•• national BD currentsince Dec 7, 2020 · Akron, Oh
- C••••••• S••••••••• I••• BD affiliatedNov 20, 2015 to Dec 9, 2020 · Solon, Oh
- E•••••••• A•••••••• L•• national BDJan 11, 2012 to Nov 3, 2015 · Akron, Oh
- P•••• S••••••••• L•• no RAUMMay 17, 2011 to Jan 23, 2012 · Uniontown, Oh
- S••••••• I••••••••• I••• formerFeb 11, 2008 to Jun 10, 2009 · Columbus, Oh
- M•• F•••••••• S•••••••• I••• formerNov 15, 2007 to Feb 14, 2008 · Broadview Heights, Oh
- F•••• A••••• S••••••••• I••• formerFeb 4, 2003 to Feb 18, 2004 · Chicago, Il
- C••••••• S••••••••• I••• to E•••••••• A•••••••• L••left Dec 9, 2020, registered Dec 7, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to C••••••• S••••••••• I•••left Nov 3, 2015, registered Nov 20, 2015 (17 days) · Other
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Jan 23, 2012, registered Jan 11, 2012 (-12 days) · Other
- S••••••• I••••••••• I••• to P•••• S••••••••• L••left Jun 10, 2009, registered May 17, 2011 (706 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Feb 14, 2008, registered Feb 11, 2008 (-3 days) · Other
- F•••• A••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Feb 18, 2004, registered Nov 15, 2007 (1366 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address