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•• G••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Shaker Heights, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 20, 2021 to Mar 31, 2025 · Covington, Ky
- P•• C•••••• A••••••• L•• otherFeb 27, 2015 to Nov 18, 2019 · Cleveland, Oh
- P•• W••••• M••••••••• BD affiliatedAug 26, 2013 to Jan 27, 2015 · Pittsburgh, Pa
- M••••• S•••••• wirehouseAug 8, 2011 to Jan 3, 2012 · Honolulu, Hi
- 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
- P•• C•••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 18, 2019, registered Oct 20, 2021 (702 days) · Other · moved with a team
- P•• W••••• M••••••••• to P•• C•••••• A••••••• L••left Jan 27, 2015, registered Feb 27, 2015 (31 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Jan 3, 2012, registered Aug 26, 2013 (601 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address