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.
C•••• O• R•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 21, 2016 · Canfield, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 4, 2014 to Dec 23, 2016 · Canfield, Oh
- C•••• I••••••••• S••••••• C•••• formerSep 3, 2008 to Jul 2, 2012 · Boardman, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 23, 2016, registered Dec 21, 2016 (-2 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 2, 2012, registered Mar 4, 2014 (610 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address