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••• C•••••••
- N•• E•• I••••••••• L•• state registered currentsince Jun 10, 2021 · Southfield, Mi
- C•••••• A••••••• BD affiliatedDec 23, 2015 to May 4, 2021 · Southfield, Mi
- L•••••• I••••••••• independent RIAAug 2, 2010 to May 4, 2021 · Cincinnati, Oh
- G•••• A••••••• A•••••••• I••• formerNov 10, 2009 to Aug 2, 2010 · Southfield, Mi
- C•••••• A••••••• to N•• E•• I••••••••• L••left May 4, 2021, registered Jun 10, 2021 (37 days) · Affiliated broker-dealer or bank to a state-registered adviser
- L•••••• I••••••••• to C•••••• A•••••••left May 4, 2021, registered Dec 23, 2015 (-1959 days) · Other · moved with a team
- G•••• A••••••• A•••••••• I••• to L•••••• I•••••••••left Aug 2, 2010, registered Aug 2, 2010 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address