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.
M•••••• R• T•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 7, 2023 · Dublin, Oh
- U•• F•••••••• S••••••• I••• wirehouseJul 27, 2022 to Sep 6, 2023 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 19, 2022 · Detroit, Mi
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 1, 2012 · Auburn Hills, Mi
- B••• O•• S••••••••• C••••••••• unclassifiedNov 18, 2004 to Jul 6, 2005 · Northville, Mi
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2023, registered Sep 7, 2023 (1 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 19, 2022, registered Jul 27, 2022 (-23 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- 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
- M•••••• R• T••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-09-07)Sep 6, 2023 · Advisor changed firm · fact
- M•••••• R• T••••• left J••• M••••• S••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2022-07-27)Aug 19, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address