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.
R••• B•••••
- R•••••• F•••••••• N•••••• independent RIA currentsince Jan 7, 2022 · Solon, Oh
- J••• M••••• S••••••••• L•• wirehouseJul 19, 2018 to Jan 4, 2022 · Cleveland, Oh
- P•• W••••• M••••••••• BD affiliatedJan 12, 2017 to Jul 11, 2018 · Painesville, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedMay 5, 2016 to Dec 12, 2016 · Cleveland, Oh
- J••• M••••• S••••••••• L•• to R•••••• F•••••••• N••••••left Jan 4, 2022, registered Jan 7, 2022 (3 days) · Wirehouse to independent RIA
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jul 11, 2018, registered Jul 19, 2018 (8 days) · Affiliated broker-dealer or bank to wirehouse
- K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left Dec 12, 2016, registered Jan 12, 2017 (31 days) · Other
- R••• B••••• left J••• M••••• S••••••••• L•• for R•••••• F•••••••• N•••••• (registered 2022-01-07)Jan 4, 2022 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address