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••••• W•••••• S••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Nov 21, 2011 · Traverse City, Mi
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 16, 2009 to Oct 10, 2011 · Traverse City, Mi
- U•• F•••••••• S••••••• I••• wirehouseJan 18, 2007 to Oct 16, 2009 · Traverse City, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2002 to Jan 27, 2003 · Traverse Ctiy, Mi
- S•••••• N••••••• • C••••••• I••••••••• to H•••••••• A•••••••• L••left Oct 10, 2011, registered Nov 21, 2011 (42 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 16, 2009, registered Oct 16, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 27, 2003, registered Jan 18, 2007 (1452 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address