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•••••• D• C•••
- W•••• F•••• A••••••• wirehouse currentsince Mar 6, 2023 · Bonita Springs, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedJan 20, 2011 to Mar 6, 2023 · Cincinnati, Oh
- R••••• W• B•••• • C•• I••••••••• mixed wealthMar 19, 2007 to Jun 11, 2010 · Cleveland, Oh
- J••••• M••••••••• S•••• L•• BD affiliatedSep 28, 2005 to Mar 23, 2007 · Painesville, Oh
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left Mar 6, 2023, registered Mar 6, 2023 (0 days) · Affiliated broker-dealer or bank to wirehouse
- R••••• W• B•••• • C•• I••••••••• to F•••• T•••• S••••••••• I•••left Jun 11, 2010, registered Jan 20, 2011 (223 days) · Other
- J••••• M••••••••• S•••• L•• to R••••• W• B•••• • C•• I•••••••••left Mar 23, 2007, registered Mar 19, 2007 (-4 days) · Other
- M•••••• D• C••• left F•••• T•••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2023-03-06)Mar 6, 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address