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.
D•••••• Y•• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 12, 2022 · Vancouver, Wa
- C••••••• A•••• M••••••••• L•• BD affiliatedDec 14, 2021 to Sep 27, 2022 · Ann Arbor, Mi
- S••••••••• A•••••• A•••••••• I••• formerApr 3, 2018 to Dec 10, 2021 · Southfield, Mi
- P•••• S••••••••• L•• no RAUMNov 9, 2015 to Mar 30, 2018 · Troy, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 11, 2012 to Mar 8, 2013 · Ann Arbor, Mi
- P•••••••• A••••••• national BDJul 29, 2011 to Dec 13, 2011 · Wixom, Mi
- E•••••••• A•••••••• L•• national BDJan 30, 2009 to Aug 13, 2009 · Troy, Mi
- C••••••• A•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 27, 2022, registered Oct 12, 2022 (15 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to C••••••• A•••• M••••••••• L••left Dec 10, 2021, registered Dec 14, 2021 (4 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Mar 30, 2018, registered Apr 3, 2018 (4 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••• S••••••••• L••left Mar 8, 2013, registered Nov 9, 2015 (976 days) · Other
- P•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 13, 2011, registered Jan 11, 2012 (29 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to P•••••••• A•••••••left Aug 13, 2009, registered Jul 29, 2011 (715 days) · Affiliated broker-dealer or bank to another
- D•••••• Y•• M••••••• left C••••••• A•••• M••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-10-12)Sep 27, 2022 · 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