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••••••••• S•••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Battle Creek, Mi
- I••••• F•••••••• C••••••••• formerDec 18, 2012 to Feb 16, 2018 · Coldwater, Mi
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerAug 3, 2010 to Dec 17, 2012 · Youngstown, Oh
- S•• I••••••••• I••• formerJan 18, 2005 to Mar 19, 2009 · Battle Creek, Mi
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Dec 17, 2012, registered Dec 18, 2012 (1 days) · Other
- S•• I••••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Mar 19, 2009, registered Aug 3, 2010 (502 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
- 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