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•••• M••••• B••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 17, 2025 · Richland, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedSep 1, 2020 to Jan 23, 2025 · Portage, Mi
- R•••••• J•••• • A••••••••• I••• national BDFeb 21, 2018 to Mar 6, 2019 · Kalamazoo, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedOct 6, 2015 to Sep 18, 2017 · Niles, Mi
- L•• F•••••••• L•• BD affiliatedMay 24, 2013 to Sep 30, 2015 · Kalamazoo, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 20, 2013 · Kalamazoo, Mi
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 20, 2009 to Oct 23, 2009 · Kalamazoo, Mi
- F•••• T•••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2025, registered Jan 17, 2025 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• • A••••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 6, 2019, registered Sep 1, 2020 (545 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 18, 2017, registered Feb 21, 2018 (156 days) · Other
- L•• F•••••••• L•• to F•••• T•••• S••••••••• I•••left Sep 30, 2015, registered Oct 6, 2015 (6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 20, 2013, registered May 24, 2013 (4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- L•••• M••••• B•••••• left F•••• T•••• S••••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-01-17)Jan 23, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address