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.
C••••••••• T••••• R•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 5, 2021 · Commerce Twp, Mi
- O•••• W•••••• I••• BD affiliatedJan 3, 2012 to Jan 7, 2021 · Troy, Mi
- L•••••• A•• C•••••• formerJan 26, 2010 to Oct 31, 2011 · Troy, Mi
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 7, 2021, registered Jan 5, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•••••• A•• C•••••• to O•••• W•••••• I•••left Oct 31, 2011, registered Jan 3, 2012 (64 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address