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.
L•••• D• C•••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 9, 2026 · Saint Joseph, Mi
- L•• F•••••••• L•• BD affiliatedJun 10, 2022 to Mar 24, 2026 · St. Joseph, Mi
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJul 27, 2020 to Jun 9, 2022 · South Have, Mi
- W•••• F•••• A••••••• wirehouseJan 5, 2018 to Jul 20, 2020 · Duluth, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 6, 2015 to Jan 5, 2018 · Niles, Mi
- A••••• A•• P••••••• S••••••• BD affiliatedOct 7, 2014 to Apr 21, 2015 · South Bend, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 25, 2014 · Benton Harbor, Mi
- C•••• I••••••••• S••••••• C•••• formerApr 19, 2011 to Oct 1, 2012 · St. Joseph, Mi
- E••••• J•••• national BDDec 16, 2009 to Apr 5, 2011 · St Louis, Mo
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 24, 2026, registered Mar 9, 2026 (-15 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to L•• F•••••••• L••left Jun 9, 2022, registered Jun 10, 2022 (1 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to A••••••• F•••••••• A•••••••• L••left Jul 20, 2020, registered Jul 27, 2020 (7 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••left Jan 5, 2018, registered Jan 5, 2018 (0 days) · Other
- A••••• A•• P••••••• S••••••• to C••••• I••••••••• A••••••• L••left Apr 21, 2015, registered Oct 6, 2015 (168 days) · Other
- J••• M••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Sep 25, 2014, registered Oct 7, 2014 (12 days) · Other
- 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
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Apr 5, 2011, registered Apr 19, 2011 (14 days) · Other
- L•••• D• C••••••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-03-09)Mar 24, 2026 · Advisor changed firm · fact
- L•••• D• C••••••••• left A••••••• F•••••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-06-10)Jun 9, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address