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.
T•••••• C•••••
- P•• W••••• M••••••••• BD affiliated currentsince Jan 27, 2023 · Cleveland, Oh
- C••••••• S••••••••• I••• BD affiliatedJul 18, 2019 to Jun 10, 2020 · Toledo, Oh
- H••••••••• F•••••••• A••••••• BD affiliatedJan 17, 2018 to Jul 30, 2019 · Parma, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedMay 17, 2016 to Nov 21, 2017 · Parma, Oh
- P•• W••••• M••••••••• BD affiliatedSep 30, 2014 to Apr 14, 2016 · Rocky River, Oh
- C••••••• S••••••••• I••• to P•• W••••• M•••••••••left Jun 10, 2020, registered Jan 27, 2023 (961 days) · Affiliated broker-dealer or bank to another
- H••••••••• F•••••••• A••••••• to C••••••• S••••••••• I•••left Jul 30, 2019, registered Jul 18, 2019 (-12 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to H••••••••• F•••••••• A•••••••left Nov 21, 2017, registered Jan 17, 2018 (57 days) · Other
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Apr 14, 2016, registered May 17, 2016 (33 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address