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.
R••• R••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 14, 2020 · East Lansing, Mi
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 22, 2020 · Okemos, Mi
- C•••• I••••••••• S••••••• C•••• formerFeb 16, 2011 to Oct 1, 2012 · Lansing, Mi
- C• A••••••• S••••••• independent RIASep 24, 2010 to Dec 14, 2010 · Grand Rapids, Mi
- I••••• F•••••••• C••••••••• formerJun 1, 2009 to Dec 9, 2010 · Grand Rapids, Mi
- W•••• F•••• A••••••• wirehouseApr 28, 2009 to Jun 1, 2009 · Grand Rapids, Mi
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 22, 2020, registered Jul 14, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C• A••••••• S••••••• to C•••• I••••••••• S••••••• C••••left Dec 14, 2010, registered Feb 16, 2011 (64 days) · Other
- I••••• F•••••••• C••••••••• to C• A••••••• S•••••••left Dec 9, 2010, registered Sep 24, 2010 (-76 days) · Other
- W•••• F•••• A••••••• to I••••• F•••••••• C•••••••••left Jun 1, 2009, registered Jun 1, 2009 (0 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
- 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