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.
G••• M••••• C••••••
- L••••••• A••••••• independent RIA currentsince Jan 2, 2020 · Overland Park, Ks
- N••••••••• S••••••••• L•• no RAUMMay 13, 2013 to Dec 31, 2019 · Medina, Oh
- E••••• J•••• national BDJan 4, 2011 to Jul 5, 2012 · Medina, Oh
- N••••••••• S••••••••• L•• to L••••••• A•••••••left Dec 31, 2019, registered Jan 2, 2020 (2 days) · Other
- E••••• J•••• to N••••••••• S••••••••• L••left Jul 5, 2012, registered May 13, 2013 (312 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Independent wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address