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.
I•••• M•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Highland Heights, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 14, 2022 to Mar 31, 2025 · Highland Heights, Oh
- E•••••••• A•••••••• L•• national BDOct 14, 2021 to Sep 29, 2022 · Broadview Heights, Oh
- P•••••••• S••••••••• I••• BD affiliatedAug 23, 2018 to Sep 15, 2021 · Cleveland, Oh
- I••••••••• F•••••••• G••••• L•• BD affiliatedAug 1, 2014 to Aug 6, 2018 · Cleveland, Oh
- A••••••• N••••••• A••••••• formerApr 19, 2013 to Aug 10, 2018 · Cleveland, Oh
- S•••••••• A••••••• L•• national BDJun 30, 2009 to Jun 5, 2012 · Woodmere Village, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 29, 2022, registered Nov 14, 2022 (46 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to E•••••••• A•••••••• L••left Sep 15, 2021, registered Oct 14, 2021 (29 days) · Affiliated broker-dealer or bank to another
- A••••••• N••••••• A••••••• to I••••••••• F•••••••• G••••• L••left Aug 10, 2018, registered Aug 1, 2014 (-1470 days) · Other
- I••••••••• F•••••••• G••••• L•• to P•••••••• S••••••••• I•••left Aug 6, 2018, registered Aug 23, 2018 (17 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to A••••••• N••••••• A•••••••left Jun 5, 2012, registered Apr 19, 2013 (318 days) · Other
- I•••• M••• left E•••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-14)Sep 29, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address