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.
N•••••• A•••• B••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Jan 14, 2015 · Chagrin Falls, Oh
- M••••• S•••••• wirehouseDec 18, 2012 to Jan 20, 2015 · Westlake, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDOct 22, 2012 to Dec 6, 2012 · Canfield, Oh
- M••••• S•••••• to S•••••• W••••• P•••••••• L••left Jan 20, 2015, registered Jan 14, 2015 (-6 days) · Other · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Dec 6, 2012, registered Dec 18, 2012 (12 days) · Affiliated broker-dealer or bank to wirehouse
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