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•••• J•••• M••••••
- E•••••••• A•••••••• L•• national BD currentsince Aug 20, 2026 · Port Huron, Mi
- S••••• I••••••••• A•••••••• L•• BD affiliatedOct 1, 2019 to Aug 20, 2026 · Port Huron, Mi
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 3, 2010 to Oct 1, 2019 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 26, 2010 to Jun 4, 2010 · Port Huron, Mi
- S••••• I••••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Aug 20, 2026, registered Aug 20, 2026 (0 days) · corporate re-registration, not a move
- S•••••• N••••••• • C••••••• I••••••••• to S••••• I••••••••• A•••••••• L••left Oct 1, 2019, registered Oct 1, 2019 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 4, 2010, registered Jun 3, 2010 (-1 days) · Wirehouse to affiliated broker-dealer or bank
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