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••• H••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 13, 2019 · Poland, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 7, 2011 to Feb 6, 2019 · Canfield, Oh
- E••••• I••••••••• A••••••• unclassifiedMar 10, 2010 to Dec 10, 2010 · Austin, Tx
- F••• A••••••• formerOct 8, 2009 to Dec 21, 2009 · Anaheim, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• A••••••• S•••••••• L••left Feb 6, 2019, registered Mar 13, 2019 (35 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• I••••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 10, 2010, registered Jan 7, 2011 (28 days) · Other
- F••• A••••••• to E••••• I••••••••• A•••••••left Dec 21, 2009, registered Mar 10, 2010 (79 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
- 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