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.
- S•• BD affiliated currentsince Jun 11, 2013 · Ann Arbor, Mi
- P•••••• B••••••• A•• C••••••••• formerJul 24, 2012 to Jul 16, 2013 · Rocky River, Oh
- R•••••• W••••• independent RIAMay 6, 2010 to Nov 26, 2012 · Rocky River, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2008 to Feb 25, 2010 · Cleveland, Oh
- P•••••• B••••••• A•• C••••••••• to S••left Jul 16, 2013, registered Jun 11, 2013 (-35 days) · Other
- R•••••• W••••• to P•••••• B••••••• A•• C•••••••••left Nov 26, 2012, registered Jul 24, 2012 (-125 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• W•••••left Feb 25, 2010, registered May 6, 2010 (70 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
- 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