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••• H••••• K••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 30, 2018 · Grosse Pointe Farms, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 19, 2010 to Dec 6, 2018 · Bloomfield Hills, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Dec 6, 2018, registered Nov 30, 2018 (-6 days) · Wirehouse to affiliated broker-dealer or bank
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address