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.
S•••• D•••• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 1, 2019 · Southgate, Mi
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Jul 26, 2019 · Livonia, Mi
- S••••••• I••••••••• I••• formerFeb 2, 2018 to Nov 2, 2018 · Southfield, Mi
- P•• W••••• M••••••••• BD affiliatedOct 12, 2016 to Feb 9, 2018 · Taylor, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDAug 18, 2014 to Oct 7, 2016 · Southgate, Mi
- O•••• W•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 26, 2019, registered Aug 1, 2019 (6 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to S••••••• I••••••••• I•••left Feb 9, 2018, registered Feb 2, 2018 (-7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•• W••••• M•••••••••left Oct 7, 2016, registered Oct 12, 2016 (5 days) · Other · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address