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.
A••••• L• S••••••• L••••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Sep 16, 2024 · Richmond, Va
- M••••••••• R••••••••• BD affiliatedDec 7, 2022 to Sep 23, 2024 · Canfield, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 25, 2021 · Columbiana, Oh
- C•••• I••••••••• S••••••• C•••• formerMar 3, 2011 to Oct 1, 2012 · East Liverpool, Oh
- M••••••••• R••••••••• to V••• F•••••••• A•••••••• I•••left Sep 23, 2024, registered Sep 16, 2024 (-7 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to M••••••••• R•••••••••left May 25, 2021, registered Dec 7, 2022 (561 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A••••• L• S••••••• L•••• left M••••••••• R••••••••• for V••• F•••••••• A•••••••• I••• (registered 2024-09-16)Sep 23, 2024 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address