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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 31, 2020 · Rochester, Mi
- R•••••• J•••• • A••••••••• I••• national BDApr 28, 2017 to Jul 31, 2020 · Clinton Township, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2014 to May 1, 2017 · Clinton Township, Mi
- T•••••• E••••••••• • P••••••••• I••• institutionalJan 18, 2013 to Aug 25, 2014 · Troy, Mi
- H••••••••• F•••••••• A••••••• BD affiliatedApr 23, 2009 to Jan 11, 2013 · Clinton Township, Mi
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 31, 2020, registered Jul 31, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left May 1, 2017, registered Apr 28, 2017 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- T•••••• E••••••••• • P••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 25, 2014, registered Sep 10, 2014 (16 days) · Other
- H••••••••• F•••••••• A••••••• to T•••••• E••••••••• • P••••••••• I•••left Jan 11, 2013, registered Jan 18, 2013 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address