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.
T•••••• J••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 22, 2017 · Battle Creek, Mi
- O•••• I••••••••• I••• BD affiliatedJul 1, 2016 to Nov 3, 2017 · Battle Creek, Mi
- E•••• N••••••• S••••••••• I••• formerSep 17, 2014 to Jul 1, 2016 · Portage, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedMay 26, 2010 to Feb 8, 2013 · Battle Creek, Mi
- H••••••••• F•••••••• A••••••• BD affiliatedOct 2, 2007 to Mar 23, 2010 · Portage, Mi
- O•••• I••••••••• I••• to L•• F•••••••• L••left Nov 3, 2017, registered Nov 22, 2017 (19 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to E•••• N••••••• S••••••••• I•••left Feb 8, 2013, registered Sep 17, 2014 (586 days) · Other
- H••••••••• F•••••••• A••••••• to F•••• T•••• S••••••••• I•••left Mar 23, 2010, registered May 26, 2010 (64 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address