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.
D••••• J••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 19, 2022 · Berkeley Springs, Wv
- C••• I••••••••• A••••••• S•••••••• L•• institutionalJan 7, 2020 to Nov 15, 2021 · Cleveland, Oh
- C••• R••••••••• P••• A••••••• S••••••• institutionalJul 17, 2013 to Nov 15, 2021 · Cumberland, Md
- C••• R••••••••• P••• A••••••• S••••••• to C••• I••••••••• A••••••• S•••••••• L••left Nov 15, 2021, registered Jan 7, 2020 (-678 days) · channel change inside one enterprise, not a move
- C••• I••••••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Nov 15, 2021, registered Jan 19, 2022 (65 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address