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.
P••••• J•••• F••••••
- S•••• W••••• M••••••••• L•• BD affiliated currentsince Feb 28, 2018 · Mclean, Va
- F•• S••••••••• C••••••••• formerSep 2, 2016 to Dec 20, 2017 · Utica, Mi
- C••••••••• F•••••••• N•••••• national BDJul 20, 2010 to Aug 24, 2016 · Utica, Mi
- O••••••••• • C•• I••• BD affiliatedDec 20, 2007 to Jan 22, 2008 · Sterling Heights, Mi
- F•• S••••••••• C••••••••• to S•••• W••••• M••••••••• L••left Dec 20, 2017, registered Feb 28, 2018 (70 days) · Other
- C••••••••• F•••••••• N•••••• to F•• S••••••••• C•••••••••left Aug 24, 2016, registered Sep 2, 2016 (9 days) · Other
- O••••••••• • C•• I••• to C••••••••• F•••••••• N••••••left Jan 22, 2008, registered Jul 20, 2010 (910 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