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.
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H••• B•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 21, 2024 · Fort Mill, Sc
- C••••••• S••••••••• I••• BD affiliatedSep 20, 2021 to Apr 18, 2024 · Woburn, Ma
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 18, 2016 to Nov 13, 2020 · Ann Arbor, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDJun 27, 2014 to Feb 10, 2016 · Livonia, Mi
- W•••• F•••• A••••••• wirehouseAug 17, 2010 to Jun 30, 2014 · Farmington Hills, Mi
- U•• F•••••••• S••••••• I••• wirehouseOct 1, 2007 to Aug 24, 2010 · Grosse Pt Farms, Mi
- N•••••• I••••••••• I••• unclassifiedDec 19, 2006 to Oct 1, 2007 · Ann Arbor, Mi
- C••••••• S••••••••• formerSep 12, 2005 to Nov 29, 2006 · Bloomfield Hills, Mi
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Apr 18, 2024, registered Jun 21, 2024 (64 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to C••••••• S••••••••• I•••left Nov 13, 2020, registered Sep 20, 2021 (311 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to A••••• A•• P••••••• S•••••••left Feb 10, 2016, registered Feb 18, 2016 (8 days) · Other
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 30, 2014, registered Jun 27, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 24, 2010, registered Aug 17, 2010 (-7 days) · Wirehouse to wirehouse
- N•••••• I••••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 1, 2007, registered Oct 1, 2007 (0 days) · Other
- C••••••• S••••••••• to N•••••• I••••••••• I•••left Nov 29, 2006, registered Dec 19, 2006 (20 days) · Other
- H••• B••••••••• left C••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-21)Apr 18, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address