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.
L•••••• D•••• D•••••••
- C•••••••• I••••••••• L•• state registered currentsince Jul 18, 2014 · Jenison, Mi
- H•• A••••••• S••••••• L•• independent RIAFeb 18, 2010 to Sep 17, 2014 · Simi Valley, Ca
- C•• I••••••••• I•• independent RIADec 10, 2009 to Dec 31, 2009 · Rochester, Mi
- H•• A••••••• S••••••• L•• to C•••••••• I••••••••• L••left Sep 17, 2014, registered Jul 18, 2014 (-61 days) · Other
- C•• I••••••••• I•• to H•• A••••••• S••••••• L••left Dec 31, 2009, registered Feb 18, 2010 (49 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address