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••••• P••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 30, 2023 · Ann Arbor, Mi
- S•• BD affiliatedJan 14, 2019 to Oct 30, 2023 · Novi, Mi
- Q•••••• A•••• M••••••••• I••• formerJun 1, 2010 to Jan 15, 2019 · Minneapolis, Mn
- S•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 30, 2023, registered Oct 30, 2023 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- Q•••••• A•••• M••••••••• I••• to S••left Jan 15, 2019, registered Jan 14, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- L••••• P•••• left Spc for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-10-30)Oct 30, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address