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.
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- L•• F•••••••• L•• BD affiliated currentsince Sep 20, 2018 · Adrian, Mi
- C••••••• F•••••••• D••••••• I••• BD affiliatedJun 20, 2014 to Jun 22, 2018 · Adrian, Mi
- I••••••••• F•••••••• A•••••••• L•• unclassifiedNov 1, 2010 to Oct 2, 2012
- L•• F•••••••• L•• BD affiliatedOct 23, 2007 to Oct 1, 2012 · Troy, Mi
- C••••••• F•••••••• D••••••• I••• to L•• F•••••••• L••left Jun 22, 2018, registered Sep 20, 2018 (90 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• F•••••••• A•••••••• L•• to C••••••• F•••••••• D••••••• I•••left Oct 2, 2012, registered Jun 20, 2014 (626 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• A•••••••• L••left Oct 1, 2012, registered Nov 1, 2010 (-700 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address