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•••••• M••••••• J••
- B•••••••• F•••••••• A•••••••• L•• state registered currentsince Jun 17, 2021 · Parma, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedDec 7, 2018 to Jun 9, 2021 · Bay Village, Oh
- P•• W••••• M••••••••• BD affiliatedOct 23, 2014 to Nov 23, 2018 · Cleveland, Oh
- C•••••• S••••• • C••• I••• national BDApr 28, 2011 to Feb 13, 2013 · Richfield, Oh
- H••••••••• F•••••••• A••••••• to B•••••••• F•••••••• A•••••••• L••left Jun 9, 2021, registered Jun 17, 2021 (8 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P•• W••••• M••••••••• to H••••••••• F•••••••• A•••••••left Nov 23, 2018, registered Dec 7, 2018 (14 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• S••••• • C••• I••• to P•• W••••• M•••••••••left Feb 13, 2013, registered Oct 23, 2014 (617 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address