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.
W•••••• J••••• S••••
- 4• A•• 2• I••••••••• A•••••••• L•• state registered currentsince Dec 20, 2013 · Traverse City, Mi
- P••••• M•••• F•••••••• A••••••• independent RIAFeb 4, 2010 to Oct 21, 2013 · Traverse City, Mi
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedJul 30, 2002 to Apr 17, 2003 · Parsippany, Nj
- P••••• M•••• F•••••••• A••••••• to 4• A•• 2• I••••••••• A•••••••• L••left Oct 21, 2013, registered Dec 20, 2013 (60 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to P••••• M•••• F•••••••• A•••••••left Apr 17, 2003, registered Feb 4, 2010 (2485 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address