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••• F•••• C•••••
- B•••••• L••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 10, 2024 · Akron, Oh
- C••••••• S••••••••• I••• BD affiliatedMay 19, 2014 to Oct 25, 2022 · Broadview Heights, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJul 16, 2012 to May 23, 2014 · Akron, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 19, 2009 to Jul 17, 2012 · Akron, Oh
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to May 19, 2009 · Akron, Oh
- M••••• S•••••• D• I••• unclassifiedOct 4, 2004 to Apr 2, 2007 · Akron, Oh
- C••••••• S••••••••• I••• to B•••••• L••• A••••••• S•••••••• I•••left Oct 25, 2022, registered Sep 10, 2024 (686 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to C••••••• S••••••••• I•••left May 23, 2014, registered May 19, 2014 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 17, 2012, registered Jul 16, 2012 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 19, 2009, registered May 19, 2009 (0 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- J••• F•••• C••••• left C••••••• S••••••••• I••• for B•••••• L••• A••••••• S•••••••• I••• (registered 2024-09-10)Oct 25, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address