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.
L••• A• H•••••
- I••••••••• W••••• P••••••• state registered currentsince Feb 8, 2017 · Cleveland, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 7, 2015 to Jan 27, 2016 · Strongsville, Oh
- E••••• J•••• national BDJul 10, 2012 to Jan 8, 2015 · Parma, Oh
- F•••••• B•••• W••••• L•• unclassifiedMay 12, 2008 to Jul 3, 2008 · Baltimore, Md
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• W••••• P•••••••left Jan 27, 2016, registered Feb 8, 2017 (378 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Jan 8, 2015, registered Jan 7, 2015 (-1 days) · Affiliated broker-dealer or bank to another
- F•••••• B•••• W••••• L•• to E••••• J••••left Jul 3, 2008, registered Jul 10, 2012 (1468 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address