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.
M•••••• J• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 4, 2019 · Avon Lake, Oh
- S•••••• W••••• P•••••••• L•• BD affiliatedSep 2, 2016 to Aug 4, 2022 · Westlake, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedMar 23, 2009 to Sep 12, 2016 · Lakewood, Oh
- C•••• I••••••••• S••••••• C•••• formerMay 19, 2008 to Mar 4, 2009 · Rocky River, Oh
- I••••• F•••••••• C••••••••• formerJan 24, 2007 to Mar 27, 2008 · Cleveland, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedJan 4, 2006 to Jan 16, 2007 · Brecksville, Oh
- K•••••• C•••••• M•••••• I••• unclassifiedDec 6, 2005 to Dec 31, 2005 · Cleveland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 28, 2004 to Dec 8, 2005 · Cleveland, Oh
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Aug 4, 2022, registered Feb 4, 2019 (-1277 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• T•••• S••••••••• I••• to S•••••• W••••• P•••••••• L••left Sep 12, 2016, registered Sep 2, 2016 (-10 days) · Other
- C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••left Mar 4, 2009, registered Mar 23, 2009 (19 days) · Other
- I••••• F•••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Mar 27, 2008, registered May 19, 2008 (53 days) · Other
- K•• I••••••••• S••••••• L•• to I••••• F•••••••• C•••••••••left Jan 16, 2007, registered Jan 24, 2007 (8 days) · Other
- K•••••• C•••••• M•••••• I••• to K•• I••••••••• S••••••• L••left Dec 31, 2005, registered Jan 4, 2006 (4 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•••••• C•••••• M•••••• I•••left Dec 8, 2005, registered Dec 6, 2005 (-2 days) · Other
- M•••••• J• R••••• left S•••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2019-02-04)Aug 4, 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