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•••• D•••• K•••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Jan 21, 2016 · Akron, Oh
- L••••••••• W••••• A••••••• independent RIAFeb 4, 2015 to Oct 22, 2015 · Valley View, Oh
- S•• BD affiliatedMar 26, 2012 to Feb 5, 2015 · Valley View, Oh
- L••••••••• W••••• A••••••• to V••• F•••••••• A•••••••• I•••left Oct 22, 2015, registered Jan 21, 2016 (91 days) · Other
- S•• to L••••••••• W••••• A•••••••left Feb 5, 2015, registered Feb 4, 2015 (-1 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address