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.
Z•••••••• J• S•••••
- A••• W••••• M••••••••• L•• state registered currentsince Jun 24, 2020 · Ashland, Oh
- O••••••••• S••••••••• I••• BD affiliatedDec 17, 2014 to May 6, 2020 · Westlake, Oh
- E•••••••• A•••••••• L•• national BDAug 28, 2013 to Dec 22, 2014 · Akron, Oh
- O••••••••• S••••••••• I••• to A••• W••••• M••••••••• L••left May 6, 2020, registered Jun 24, 2020 (49 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left Dec 22, 2014, registered Dec 17, 2014 (-5 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address