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.
- E••••• J•••• national BD currentsince Apr 14, 2023 · Marshall, Mi
- P•• W••••• M••••••••• BD affiliatedNov 3, 2015 to Apr 14, 2023 · Kalamazoo, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedAug 25, 2010 to Oct 26, 2015 · Kalamazoo, Mi
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jul 9, 2010 · Kalamazoo, Mi
- N•••••• I••••••••• I••• unclassifiedOct 12, 2006 to Nov 13, 2009 · Allegan, Mi
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 30, 2004 to May 31, 2005 · Grand Rapids, Mi
- P•• W••••• M••••••••• to E••••• J••••left Apr 14, 2023, registered Apr 14, 2023 (0 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left Oct 26, 2015, registered Nov 3, 2015 (8 days) · Other
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Jul 9, 2010, registered Aug 25, 2010 (47 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to N•••••• I••••••••• I•••left May 31, 2005, registered Oct 12, 2006 (499 days) · Other
- M•••••• H•••••• left P•• W••••• M••••••••• for E••••• J•••• (registered 2023-04-14)Apr 14, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address