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.
E•••••••• S••••• R•••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 26, 2018 · Columbus, Oh
- A•• I••••••••• S•••••••• I••• asset managerOct 1, 2014 to Aug 5, 2016 · Shelton, Ct
- P•• C•••••• A••••••• L•• otherJun 18, 2014 to Sep 29, 2014 · Cleveland, Oh
- P•• W••••• M••••••••• BD affiliatedMar 25, 2013 to Jan 27, 2014 · Mayfield Heights, Oh
- A•• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Aug 5, 2016, registered Jul 26, 2018 (720 days) · Other
- P•• C•••••• A••••••• L•• to A•• I••••••••• S•••••••• I•••left Sep 29, 2014, registered Oct 1, 2014 (2 days) · Other
- P•• W••••• M••••••••• to P•• C•••••• A••••••• L••left Jan 27, 2014, registered Jun 18, 2014 (142 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address