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.
T•••••• R••••• L••••
- O•••••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 20, 2011 · Fairlawn, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 21, 2011 · Cleveland, Oh
- M••••• S•••••• • C•• L•• unclassifiedJan 26, 2009 to Jun 1, 2009 · Cleveland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 30, 2008 to Dec 10, 2008 · Chico, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 15, 2007 to May 19, 2008 · Cleveland, Oh
- M••••• S•••••• to O•••••••• C•••••• M••••••••• L••left Jan 21, 2011, registered Jan 20, 2011 (-1 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Dec 10, 2008, registered Jan 26, 2009 (47 days) · Other
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 19, 2008, registered Jun 30, 2008 (42 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address