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••• A•• R•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 29, 2021 · Kalamazoo, Mi
- O••••••••• • C•• I••• BD affiliatedApr 13, 2011 to Nov 5, 2021 · Portage, Mi
- R•••••• J•••• • A••••••••• I••• national BDDec 22, 2010 to Apr 11, 2011 · Kalamazoo, Mi
- O••••••••• • C•• I••• to R•••••• J•••• • A••••••••• I•••left Nov 5, 2021, registered Oct 29, 2021 (-7 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to O••••••••• • C•• I•••left Apr 11, 2011, registered Apr 13, 2011 (2 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address