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.
B•••• H••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Copley, Oh
- P•••••• C••••• S•••••••• L•• BD affiliatedFeb 22, 2018 to Jul 5, 2018 · Louisville, Ky
- I••••••••• C•••••• O• A••••••• I••• formerNov 29, 2016 to Feb 1, 2018 · Appleton, Wi
- S•• I••••••••• I••• formerJan 2, 2013 to Feb 1, 2018 · Fairview Park, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 23, 2011 to Dec 4, 2012 · Akron, Oh
- P•••••• C••••• S•••••••• L•• to A••••••• A••••••• S•••••••• L••left Jul 5, 2018, registered Nov 1, 2021 (1215 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to P•••••• C••••• S•••••••• L••left Feb 1, 2018, registered Feb 22, 2018 (21 days) · Other
- S•• I••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Feb 1, 2018, registered Nov 29, 2016 (-429 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•• I••••••••• I•••left Dec 4, 2012, registered Jan 2, 2013 (29 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address