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.
M•••••• J••• W•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 11, 2018 · South Bend, In
- O••••••••• • C•• I••• BD affiliatedJan 19, 2010 to Dec 15, 2017 · Wyandotte, Mi
- U•• F•••••••• S••••••• I••• wirehouseOct 21, 2004 to Jan 15, 2010 · Rochester, Mi
- C•••••• F•••••••• A••••••• L•• independent RIAMay 14, 2003 to Oct 8, 2004 · Elkhart, In
- O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 15, 2017, registered Apr 11, 2018 (117 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Jan 15, 2010, registered Jan 19, 2010 (4 days) · Other
- C•••••• F•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 8, 2004, registered Oct 21, 2004 (13 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address