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.
D••••• J• G•••••••
- G•••••• S••••• W••••• M••••••••• L•• independent RIA currentsince Nov 25, 2020 · Overland Park, Ks
- S•••••••• A•••• G•••• formerMar 30, 2018 to Dec 31, 2020 · Ann Arbor, Mi
- S•••••••• A••••••• L•• national BDOct 30, 2007 to Apr 11, 2018 · Ann Arbor, Mi
- S•••••••• A•••• G•••• to G•••••• S••••• W••••• M••••••••• L••left Dec 31, 2020, registered Nov 25, 2020 (-36 days) · RIA to RIA
- S•••••••• A••••••• L•• to S•••••••• A•••• G••••left Apr 11, 2018, registered Mar 30, 2018 (-12 days) · Affiliated broker-dealer or bank to independent RIA
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