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••••• R••••
- C••••••••• C••••••••• A••••••• S•••••••• independent RIA currentsince Nov 1, 2021 · Cleveland, Oh
- H•••••••• A•••••••• L•• BD affiliatedMay 27, 2019 to Aug 18, 2021 · Cleveland, Oh
- C••••• P••••••• L•• independent RIADec 9, 2016 to Feb 16, 2017 · Cleveland, Oh
- S••••••••• I••••••••• A•••••••• I••• formerJan 6, 2015 to Oct 7, 2016 · Cleveland, Oh
- H•••••••• A•••••••• L•• to C••••••••• C••••••••• A••••••• S••••••••left Aug 18, 2021, registered Nov 1, 2021 (75 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• P••••••• L•• to H•••••••• A•••••••• L••left Feb 16, 2017, registered May 27, 2019 (830 days) · Other
- S••••••••• I••••••••• A•••••••• I••• to C••••• P••••••• L••left Oct 7, 2016, registered Dec 9, 2016 (63 days) · Other · moved with a team
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address