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.
S••••• T••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 11, 2023 · East Lansing, Mi
- S•• BD affiliatedJan 28, 2010 to Apr 5, 2023 · East Lansing, Mi
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 15, 2003 to Mar 26, 2009 · Lansing, Mi
- C•••••• L•• independent RIAOct 17, 2002 to Jul 10, 2003 · Pembroke, Ma
- S•• to L•• F•••••••• L••left Apr 5, 2023, registered Apr 11, 2023 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••••• A•••••• S•••••••• I••• to S••left Mar 26, 2009, registered Jan 28, 2010 (308 days) · Other
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jul 10, 2003, registered Jul 15, 2003 (5 days) · corporate re-registration, not a move
- S••••• T••••• B•••••• left Spc for L•• F•••••••• L•• (registered 2023-04-11)Apr 5, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address