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•••••• P••• K•••••
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Aug 4, 2015 · Scottsdale, Az
- S••••• F•••••••• S•••••••• I••• formerMay 7, 2008 to Dec 31, 2009 · Huntsville, Oh
- O•••• F•• I••• formerJan 24, 2006 to Jun 8, 2007 · Solon, Oh
- U•• F•••••••• S••••••• I••• wirehouseFeb 22, 2005 to Jan 18, 2006 · Cleveland, Oh
- S••••• F•••••••• S•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Dec 31, 2009, registered Aug 4, 2015 (2042 days) · Other
- O•••• F•• I••• to S••••• F•••••••• S•••••••• I•••left Jun 8, 2007, registered May 7, 2008 (334 days) · Other
- U•• F•••••••• S••••••• I••• to O•••• F•• I•••left Jan 18, 2006, registered Jan 24, 2006 (6 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address