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.
A••••• S•••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince May 16, 2025 · Cleveland, Oh
- M••••• W•••••• L•• formerOct 10, 2017 to May 19, 2025 · Mayfield Village, Oh
- S•••••••• A••••••• L•• national BDApr 12, 2016 to Aug 31, 2017 · Woodmere Village, Oh
- W•••• F•••• A••••••• wirehouseAug 16, 2013 to Mar 1, 2016 · San Francisco, Ca
- E••••• J•••• national BDAug 30, 2010 to Aug 19, 2013 · St Louis, Mo
- M••••• W•••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left May 19, 2025, registered May 16, 2025 (-3 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to M••••• W•••••• L••left Aug 31, 2017, registered Oct 10, 2017 (40 days) · Other
- W•••• F•••• A••••••• to S•••••••• A••••••• L••left Mar 1, 2016, registered Apr 12, 2016 (42 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Aug 19, 2013, registered Aug 16, 2013 (-3 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address