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•••••• G••••• W••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 6, 2018 · Portage, Mi
- F•••• A••••• A••••••• S•••••••• I••• formerNov 3, 2014 to Aug 29, 2018 · Mattawan, Mi
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 30, 2004 to Nov 5, 2014 · Mattawan, Mi
- F•••• A••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 29, 2018, registered Sep 6, 2018 (8 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to F•••• A••••• A••••••• S•••••••• I•••left Nov 5, 2014, registered Nov 3, 2014 (-2 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address