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.
S•••••• L••• I•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 26, 2019 · Troy, Mi
- C••••••• A•••• M••••••••• L•• BD affiliatedSep 4, 2018 to Jul 30, 2019 · Troy, Mi
- L••• K••• • C•••••• formerJul 26, 2012 to Sep 4, 2018 · Troy, Mi
- L•••••• A•• C•••••• formerMay 3, 2012 to Jul 19, 2012 · Troy, Mi
- H•••• F•••••••• S•••••••• I••• independent RIAFeb 2, 2011 to May 2, 2012 · Southfield, Mi
- C••••••• A•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2019, registered Jul 26, 2019 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••• K••• • C•••••• to C••••••• A•••• M••••••••• L••left Sep 4, 2018, registered Sep 4, 2018 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•••••• A•• C•••••• to L••• K••• • C••••••left Jul 19, 2012, registered Jul 26, 2012 (7 days) · Other
- H•••• F•••••••• S•••••••• I••• to L•••••• A•• C••••••left May 2, 2012, registered May 3, 2012 (1 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
- 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