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•••• R••• S•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 20, 2021 · Keego Harbor, Mi
- F•••• A••••• A••••••• S•••••••• I••• formerOct 15, 2013 to Nov 2, 2020 · Bloomfield Hills, Mi
- S•• I••••••••• I••• formerDec 2, 2010 to Oct 17, 2013 · Bloomfield Hills, Mi
- F•••• A••••• A••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 2, 2020, registered Sep 20, 2021 (322 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Oct 17, 2013, registered Oct 15, 2013 (-2 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