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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- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jul 13, 2018 · Port Huron, Mi
- I••••••••• P••••••••• I••• formerJan 8, 2013 to Jul 11, 2018 · San Antonio, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 13, 2011 to Jan 7, 2013 · Auburn Hills, Mi
- E••••• J•••• national BDAug 26, 2010 to Dec 12, 2011 · Imlay City, Mi
- I••••••••• P••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jul 11, 2018, registered Jul 13, 2018 (2 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• P••••••••• I•••left Jan 7, 2013, registered Jan 8, 2013 (1 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 12, 2011, registered Dec 13, 2011 (1 days) · Affiliated broker-dealer or bank to wirehouse
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address