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.
N••••••• F•••• N••••
- S••••••• R••••• B••• I•• independent RIA currentsince Feb 7, 2019 · Lansing, Mi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 10, 2015 to Feb 13, 2019 · Lansing, Mi
- C••• F•••••••• S•••••••• L••• formerOct 11, 2011 to Nov 6, 2015 · Okemos, Mi
- C••• B•••••••• S•••••••• I••• formerDec 12, 2008 to Sep 16, 2011 · Lansing, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedOct 3, 2006 to Dec 5, 2008 · East Lansing, Mi
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••• R••••• B••• I••left Feb 13, 2019, registered Feb 7, 2019 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 6, 2015, registered Nov 10, 2015 (4 days) · Other
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Sep 16, 2011, registered Oct 11, 2011 (25 days) · Other
- F•••• T•••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Dec 5, 2008, registered Dec 12, 2008 (7 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address