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.
A••• L•• C•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 12, 2015 · Fenton, Mi
- M••••• S•••••• wirehouseOct 20, 2010 to May 19, 2015 · Grand Blanc, Mi
- U•• F•••••••• S••••••• I••• wirehouseJan 6, 2004 to Sep 12, 2006 · Flint, Mi
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 19, 2015, registered May 12, 2015 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 12, 2006, registered Oct 20, 2010 (1499 days) · Wirehouse to wirehouse
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