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.
A••• B••••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Feb 15, 2023 · Bellville, Oh
- I•••••• A••••••• L•• independent RIANov 15, 2018 to Feb 15, 2023 · Federal Way, Wa
- T•••••••• A••••••• G••••• I••• BD affiliatedFeb 2, 2018 to Nov 29, 2018 · Tacoma, Wa
- E•• W••••• M••••••••• L•• formerApr 12, 2016 to Dec 23, 2020 · Mansfield, Oh
- E•• W••••• M••••••••• L•• formerAug 13, 2014 to Apr 12, 2016 · Mansfield, Oh
- C•••••••• F•••••••• G•••• A••••••• formerSep 30, 2009 to Aug 20, 2012 · Mansfield, Oh
- I•••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 15, 2023, registered Feb 15, 2023 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- E•• W••••• M••••••••• L•• to T•••••••• A••••••• G••••• I•••left Dec 23, 2020, registered Feb 2, 2018 (-1055 days) · Other
- T•••••••• A••••••• G••••• I••• to I•••••• A••••••• L••left Nov 29, 2018, registered Nov 15, 2018 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- E•• W••••• M••••••••• L•• to E•• W••••• M••••••••• L••left Apr 12, 2016, registered Apr 12, 2016 (0 days) · channel change inside one enterprise, not a move
- C•••••••• F•••••••• G•••• A••••••• to E•• W••••• M••••••••• L••left Aug 20, 2012, registered Aug 13, 2014 (723 days) · Other
- A••• B•••••••• left I•••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-02-15)Feb 15, 2023 · 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