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.
K••••••• A•• P•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 4, 2019 · Petoskey, Mi
- H••••••••• F•••••••• A••••••• BD affiliatedDec 8, 2008 to Mar 7, 2019 · Petoskey, Mi
- R•••••• J•••• • A••••••••• I••• national BDMar 9, 2007 to Dec 4, 2008 · Petoskey, Mi
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 2, 2007 · Petoskey, Mi
- B••• O•• S••••••••• C••••••••• unclassifiedJan 24, 2005 to Jul 6, 2005 · Petoskey, Mi
- H••••••••• F•••••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 7, 2019, registered Mar 4, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to H••••••••• F•••••••• A•••••••left Dec 4, 2008, registered Dec 8, 2008 (4 days) · Other
- C•••• I••••••••• S••••••• C•••• to R•••••• J•••• • A••••••••• I•••left Mar 2, 2007, registered Mar 9, 2007 (7 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address