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.
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- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Mar 24, 2020 · Akron, Oh
- P••••••• F•••••••• S•••••••• I••• BD affiliatedSep 14, 2012 to Mar 23, 2020 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedNov 17, 2009 to Sep 25, 2012 · Akron, Oh
- P••••••• F•••••••• S•••••••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••left Mar 23, 2020, registered Mar 24, 2020 (1 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Sep 25, 2012, registered Sep 14, 2012 (-11 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address