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.
M•••••• C••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Apr 22, 2024 · Youngstown, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 22, 2023 to Dec 24, 2023 · Minneapolis, Mn
- H••• W••••• A••••••• independent RIAAug 27, 2015 to Jan 13, 2023 · Canfield, Oh
- P•• W••••• M••••••••• BD affiliatedApr 2, 2015 to Aug 24, 2015 · Hermitage, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 28, 2010 to Feb 27, 2015 · Canfield, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 7, 2008 to Jan 2, 2009 · Pittsburgh, Pa
- A••••••••• F•••••••• S•••••••• L•• to E•••••• A••••••• G••••• L••left Dec 24, 2023, registered Apr 22, 2024 (120 days) · Affiliated broker-dealer or bank to another · moved with a team
- H••• W••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 13, 2023, registered Feb 22, 2023 (40 days) · RIA to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to H••• W••••• A•••••••left Aug 24, 2015, registered Aug 27, 2015 (3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Feb 27, 2015, registered Apr 2, 2015 (34 days) · Other
- M•••••• C•• left A••••••••• F•••••••• S•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-04-22)Dec 24, 2023 · Advisor changed firm · fact
- M•••••• C•• left H••• W••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-02-22)Jan 13, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address