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.
G•••••• P•••••• M••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 3, 2022 · Birmingham, Mi
- M•••••• A•••• P••••••••• L•• independent RIAFeb 18, 2021 to May 26, 2022 · Rochester, Mi
- R•••••• J•••• • A••••••••• I••• national BDSep 17, 2010 to Oct 9, 2020 · Southfield, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Nov 5, 2009 · Minneapolis, Mn
- A••••••••• A•••••• S•••••••• I••• unclassifiedApr 27, 2006 to Oct 5, 2009 · Detroit, Mi
- M•••••• A•••• P••••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 26, 2022, registered Jun 3, 2022 (8 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to M•••••• A•••• P••••••••• L••left Oct 9, 2020, registered Feb 18, 2021 (132 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Nov 5, 2009, registered Sep 17, 2010 (316 days) · Affiliated broker-dealer or bank to another
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- G•••••• P•••••• M•••• left M•••••• A•••• P••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-06-03)May 26, 2022 · a•••••• firm change · fact
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address