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•••• T••••• J••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 8, 2013 · Westlake, Oh
- R•••••• J•••• • A••••••••• I••• national BDNov 7, 2012 to Jul 5, 2013 · Westlake, Oh
- I••••••••• F•••••••• P••••••• BD affiliatedSep 21, 2011 to Nov 25, 2011 · Cleveland, Oh
- L•• F•••••••• L•• BD affiliatedJan 4, 2011 to Nov 21, 2011 · Cleveland, Oh
- O••••• F••••••••• I••• unclassifiedOct 25, 2010 to Dec 31, 2010 · Cleveland, Oh
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 5, 2013, registered Jul 8, 2013 (3 days) · Other
- I••••••••• F•••••••• P••••••• to R•••••• J•••• • A••••••••• I•••left Nov 25, 2011, registered Nov 7, 2012 (348 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Nov 21, 2011, registered Sep 21, 2011 (-61 days) · Other
- O••••• F••••••••• I••• to L•• F•••••••• L••left Dec 31, 2010, registered Jan 4, 2011 (4 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