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.
K•••• J••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 20, 2018 · Saginaw, Mi
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to May 17, 2018 · Midland, Mi
- C••••• I••••••••• S••••••• L•• formerOct 8, 2012 to Jan 21, 2014 · Midland, Mi
- C•••• I••••••••• S••••••• C•••• formerJul 2, 2007 to Jun 1, 2011 · Fowlerville, Mi
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 17, 2018, registered Jul 20, 2018 (64 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C••••• I••••••••• S••••••• L••left Jun 1, 2011, registered Oct 8, 2012 (495 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