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.
K•••••• B•••• L••••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Southgate, Mi
- S••••••• I••••••••• I••• formerOct 5, 2015 to Nov 2, 2018 · Southgate, Mi
- C••••••• S••••••••• I••• BD affiliatedSep 27, 2010 to Oct 5, 2015 · Southgate, Mi
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Aug 20, 2010 · Lincoln Park, Mi
- N•••••• I••••••••• I••• unclassifiedFeb 5, 2007 to Nov 13, 2009 · Taylor, Mi
- S••••••• I••••••••• I••• formerMay 16, 2006 to Dec 31, 2006 · Toledo, Oh
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to S••••••• I••••••••• I•••left Oct 5, 2015, registered Oct 5, 2015 (0 days) · Other
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left Aug 20, 2010, registered Sep 27, 2010 (38 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to N•••••• I••••••••• I•••left Dec 31, 2006, registered Feb 5, 2007 (36 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address