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.
P•••••• T••••• L•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 29, 2023 · Seven Fields, Pa
- B•• M••••• S••••••••• C••••••••• otherOct 29, 2020 to Jun 30, 2023 · Pittsburgh, Pa
- N••••• A•••• M••••••••• L•• mixed wealthSep 1, 2011 to Aug 10, 2020 · Chicago, Il
- N••••• F••• A•••••••• L•• asset managerMar 4, 2010 to Sep 1, 2011 · Chicago, Il
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 22, 2007 · Canton, Oh
- M••••• S•••••• D• I••• unclassifiedDec 15, 2006 to Apr 2, 2007 · Canton, Oh
- B•• M••••• S••••••••• C••••••••• to L•• F•••••••• L••left Jun 30, 2023, registered Sep 29, 2023 (91 days) · Other · moved with a team
- N••••• A•••• M••••••••• L•• to B•• M••••• S••••••••• C•••••••••left Aug 10, 2020, registered Oct 29, 2020 (80 days) · RIA to affiliated broker-dealer or bank
- N••••• F••• A•••••••• L•• to N••••• A•••• M••••••••• L••left Sep 1, 2011, registered Sep 1, 2011 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to N••••• F••• A•••••••• L••left Oct 22, 2007, registered Mar 4, 2010 (864 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- P•••••• T••••• L••••••••• left B•• M••••• S••••••••• C••••••••• for L•• F•••••••• L•• (registered 2023-09-29)Jun 30, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address