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.
J•••• S• J•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Westlake, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 23, 2021 to Mar 31, 2025 · Avon Lake, Oh
- P••• A••••• S••••••••• L•• BD affiliatedJul 31, 2020 to Nov 1, 2021 · Beachwood, Oh
- C••••••• S••••••••• I••• BD affiliatedJun 24, 2020 to Jul 15, 2020 · Fairlawn, Oh
- F••••• I••••••••• independent RIAJul 12, 2019 to May 15, 2020 · Plano, Tx
- P•• C•••••• A••••••• L•• otherJul 16, 2014 to Jul 5, 2019 · Cleveland, Oh
- P•• W••••• M••••••••• BD affiliatedMay 17, 2013 to Jul 7, 2014 · Cleveland, Oh
- E••••• J•••• national BDAug 5, 2009 to May 7, 2013 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 1, 2021, registered Nov 23, 2021 (22 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Jul 15, 2020, registered Jul 31, 2020 (16 days) · Affiliated broker-dealer or bank to another
- F••••• I••••••••• to C••••••• S••••••••• I•••left May 15, 2020, registered Jun 24, 2020 (40 days) · RIA to affiliated broker-dealer or bank
- P•• C•••••• A••••••• L•• to F••••• I•••••••••left Jul 5, 2019, registered Jul 12, 2019 (7 days) · Other
- P•• W••••• M••••••••• to P•• C•••••• A••••••• L••left Jul 7, 2014, registered Jul 16, 2014 (9 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left May 7, 2013, registered May 17, 2013 (10 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address