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.
J••••• T••••• L•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Dec 18, 2017 · Mentor, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 2, 2017 to Dec 6, 2017 · Westlake, Oh
- P•• W••••• M••••••••• BD affiliatedAug 5, 2016 to Feb 24, 2017 · Brunswick, Oh
- E••••• J•••• national BDSep 12, 2014 to Jul 18, 2016 · Maryland Heights, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 6, 2017, registered Dec 18, 2017 (12 days) · Other
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2017, registered Mar 2, 2017 (6 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Jul 18, 2016, registered Aug 5, 2016 (18 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address