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.
S••••• M••••••• F•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 30, 2026 · Springfield, Mi
- W•••• F•••• A••••••• wirehouseJun 5, 2015 to May 7, 2026 · Charlotte, Mi
- J••••• H•••••••• W••• L••••• L•• formerNov 9, 2009 to May 19, 2015 · Battle Creek, Mi
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left May 7, 2026, registered Apr 30, 2026 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• H•••••••• W••• L••••• L•• to W•••• F•••• A•••••••left May 19, 2015, registered Jun 5, 2015 (17 days) · Other · moved with a team
- S••••• M••••••• F••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2026-04-30)May 7, 2026 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address