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.
E•••••••• M••••••
- C••••••••• I••••••••• A•••••••• L•• independent RIA currentsince Apr 17, 2023 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 5, 2018 to Apr 25, 2023 · Grosse Pointe, Mi
- W•••• F•••• A••••••• wirehouseNov 11, 2008 to Jan 11, 2018 · Grosse Pointe Farms, Mi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••left Apr 25, 2023, registered Apr 17, 2023 (-8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 11, 2018, registered Jan 5, 2018 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E•••••••• M•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-04-17)Apr 25, 2023 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address