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.
R•••••• W••••• H•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 29, 2017 · Ann Arbor, Mi
- M•• F•••••••• S•••••••• I••• formerJun 17, 2015 to Mar 24, 2017 · Southfield, Mi
- S••••••• I••••••••• I••• formerNov 12, 2013 to Feb 6, 2015 · Southfield, Mi
- T••••••• I••••••••• M••••••••• I••• BD affiliatedMay 6, 2011 to Nov 11, 2013 · Detroit, Mi
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 24, 2017, registered Mar 29, 2017 (5 days) · Other
- S••••••• I••••••••• I••• to M•• F•••••••• S•••••••• I•••left Feb 6, 2015, registered Jun 17, 2015 (131 days) · Other
- T••••••• I••••••••• M••••••••• I••• to S••••••• I••••••••• I•••left Nov 11, 2013, registered Nov 12, 2013 (1 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address