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•••••• B•••• M•••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 12, 2014 · Orange Village, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 26, 2013 to Oct 30, 2014 · Beachwood, Oh
- T• A••••••••• I••• formerAug 26, 2013 to Oct 30, 2014 · Orange Village, Oh
- S•••••••• A••••••• L•• national BDNov 16, 2011 to Aug 1, 2013 · Westlake, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJul 30, 2008 to Oct 17, 2011 · Independence, Oh
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 30, 2014, registered Aug 26, 2013 (-430 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 30, 2014, registered Aug 26, 2013 (-430 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Aug 1, 2013, registered Aug 26, 2013 (25 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Oct 17, 2011, registered Nov 16, 2011 (30 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address