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.
M•••••• H• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 21, 2022 · Indian River, Mi
- O•••• I••••••••• I••• BD affiliatedApr 4, 2013 to Jun 20, 2022 · Coldwater, Mi
- P•• W••••• M••••••••• BD affiliatedMar 12, 2010 to Mar 19, 2013 · Sault Ste Marie, Mi
- E••••• J•••• national BDMar 11, 2008 to Aug 14, 2009 · Grand Rapids, Mi
- O•••• I••••••••• I••• to L•• F•••••••• L••left Jun 20, 2022, registered Jun 21, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to O•••• I••••••••• I•••left Mar 19, 2013, registered Apr 4, 2013 (16 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Aug 14, 2009, registered Mar 12, 2010 (210 days) · Other
- M•••••• H• D•••••• left O•••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-06-21)Jun 20, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address