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.
W•••••• J••••• D••••••
- A••• W••••• M••••••••• L•• state registered currentsince Jan 31, 2023 · Fort Myers, Fl
- O•• P••••••• formerJul 30, 2021 to Apr 26, 2023 · Dallas, Tx
- W••••••••• P•••••••• L•• independent RIAJul 14, 2020 to Jul 30, 2021 · Brunswick, Oh
- R•••• I••••••••• A••••••• L•• BD affiliatedMar 9, 2018 to Jun 10, 2020 · Brunswick, Oh
- O••••••••• S••••••••• I••• BD affiliatedMay 2, 2017 to Jan 17, 2018 · Westlake, Oh
- P•••••••• S••••••••• I••• BD affiliatedDec 22, 2016 to Apr 12, 2017 · Columbia Station, Oh
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 8, 2014 to Dec 13, 2016 · Cleveland, Oh
- O•• P••••••• to A••• W••••• M••••••••• L••left Apr 26, 2023, registered Jan 31, 2023 (-85 days) · RIA to a state-registered adviser
- W••••••••• P•••••••• L•• to O•• P•••••••left Jul 30, 2021, registered Jul 30, 2021 (0 days) · RIA to a newly registered adviser · moved with a team
- R•••• I••••••••• A••••••• L•• to W••••••••• P•••••••• L••left Jun 10, 2020, registered Jul 14, 2020 (34 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- O••••••••• S••••••••• I••• to R•••• I••••••••• A••••••• L••left Jan 17, 2018, registered Mar 9, 2018 (51 days) · Other
- P•••••••• S••••••••• I••• to O••••••••• S••••••••• I•••left Apr 12, 2017, registered May 2, 2017 (20 days) · Other
- M•• I•••••••• S•••••••• L•• to P•••••••• S••••••••• I•••left Dec 13, 2016, registered Dec 22, 2016 (9 days) · Other
- W•••••• J••••• D•••••• left O•• P••••••• for A••• W••••• M••••••••• L•• (registered 2023-01-31)Apr 26, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address