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.
B•••••• D•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Uniontown, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 25, 2022 to Mar 31, 2025 · Uniontown, Oh
- C••••• A••••••• L•• formerApr 16, 2021 to Nov 4, 2021 · Akron, Oh
- T••••• F••••••••• I••• independent RIAAug 17, 2018 to Mar 16, 2021 · Canton, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2015 to Aug 20, 2018 · Columbus, Oh
- A••••••• F•••••••• A•••••••• L•• BD affiliatedMar 16, 2015 to Sep 18, 2015 · Alliance, Oh
- J••• M••••• S••••••••• L•• wirehouseApr 3, 2013 to Mar 11, 2015 · Norton, Oh
- F••••••••• A•••••••• I••• unclassifiedJan 20, 2010 to Apr 18, 2013 · Akron, Oh
- 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
- C••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 4, 2021, registered Mar 25, 2022 (141 days) · Affiliated broker-dealer or bank to another
- T••••• F••••••••• I••• to C••••• A••••••• L••left Mar 16, 2021, registered Apr 16, 2021 (31 days) · RIA to affiliated broker-dealer or bank
- K•• I••••••••• S••••••• L•• to T••••• F••••••••• I•••left Aug 20, 2018, registered Aug 17, 2018 (-3 days) · Other
- A••••••• F•••••••• A•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 18, 2015, registered Sep 21, 2015 (3 days) · Other
- J••• M••••• S••••••••• L•• to A••••••• F•••••••• A•••••••• L••left Mar 11, 2015, registered Mar 16, 2015 (5 days) · Other
- F••••••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Apr 18, 2013, registered Apr 3, 2013 (-15 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address