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••••• K•• S••••••
- A••••••• F•••••••• M••••••••• I••• state registered currentsince Mar 18, 2022 · Lambertville, Mi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 1, 2011 to Nov 9, 2020 · Lambertville, Mi
- N••• F•••••••• G••••• I••• formerJan 12, 2004 to Apr 5, 2011 · Toledo, Oh
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 15, 2003 to Dec 31, 2003 · Lambertville, Mi
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••• F•••••••• M••••••••• I•••left Nov 9, 2020, registered Mar 18, 2022 (494 days) · Affiliated broker-dealer or bank to a state-registered adviser
- N••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 5, 2011, registered Mar 1, 2011 (-35 days) · Other
- C••••• I••••••••• A••••••• L•• to N••• F•••••••• G••••• I•••left Dec 31, 2003, registered Jan 12, 2004 (12 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address