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.
J•••• R••••• P•••••
- V••••••• A•••••••• I••• BD affiliated currentsince May 5, 2014 · Charlotte, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 24, 2014 · Schaumburg, Il
- C••••• I••••••••• S••••••• L•• formerFeb 11, 2013 to Jan 21, 2014 · Midland, Mi
- M•• F•••••••• S•••••••• I••• formerFeb 23, 2011 to Sep 26, 2011 · Traverse City, Mi
- L•• F•••••••• L•• BD affiliatedJun 2, 2009 to Nov 11, 2009 · Fort Mill, Sc
- C•••• I••••••••• S••••••• C•••• formerMar 23, 2007 to Jun 1, 2009 · Kalkaska, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 2005 to Dec 18, 2006 · Traverse City, Mi
- W•••••• • R••• formerJul 20, 2004 to Feb 7, 2005 · Traverse City, Mi
- C••••• I••••••••• A••••••• L•• to V••••••• A•••••••• I•••left Mar 24, 2014, registered May 5, 2014 (42 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to C••••• I••••••••• S••••••• L••left Sep 26, 2011, registered Feb 11, 2013 (504 days) · Other
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 11, 2009, registered Feb 23, 2011 (469 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Jun 1, 2009, registered Jun 2, 2009 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Dec 18, 2006, registered Mar 23, 2007 (95 days) · Other
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 7, 2005, registered Apr 5, 2005 (57 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address