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.
L•••••• P•••••
- W•• B•••••••• S•••••••• I••• BD affiliated currentsince Jan 10, 2023 · Independence, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJun 11, 2018 to Oct 14, 2021 · Beechwood, Oh
- L•• F•••••••• L•• BD affiliatedAug 22, 2017 to May 23, 2018 · Mayfield Heights, Oh
- C••••••• S••••••••• I••• BD affiliatedNov 7, 2014 to Jun 28, 2017 · Woodmere, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 27, 2014 · Akron, Oh
- C•••• I••••••••• S••••••• C•••• formerMar 21, 2012 to Oct 1, 2012 · Aurora, Oh
- H••••••••• F•••••••• A••••••• to W•• B•••••••• S•••••••• I•••left Oct 14, 2021, registered Jan 10, 2023 (453 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to H••••••••• F•••••••• A•••••••left May 23, 2018, registered Jun 11, 2018 (19 days) · RIA to affiliated broker-dealer or bank
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Jun 28, 2017, registered Aug 22, 2017 (55 days) · Other
- J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••left Oct 27, 2014, registered Nov 7, 2014 (11 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
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address