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.
R•••••• W••••• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 26, 2019 · Troy, Mi
- C••••••• A•••• M••••••••• L•• BD affiliatedAug 22, 2018 to Jul 30, 2019 · Troy, Mi
- L••• K••• • C•••••• formerMay 23, 2016 to Aug 21, 2018 · Troy, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 28, 2014 to Mar 2, 2016 · Plymouth, Mi
- F•••• T•••• S••••••••• I••• BD affiliatedSep 12, 2012 to Jan 31, 2014 · Dearborn, Mi
- P•• W••••• M••••••••• BD affiliatedSep 29, 2011 to Aug 28, 2012 · Sugar Grove, Pa
- M••••• S•••••• wirehouseJun 8, 2010 to Aug 19, 2011 · Southfield, Mi
- C••••••• A•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2019, registered Jul 26, 2019 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••• K••• • C•••••• to C••••••• A•••• M••••••••• L••left Aug 21, 2018, registered Aug 22, 2018 (1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••• K••• • C••••••left Mar 2, 2016, registered May 23, 2016 (82 days) · Other
- F•••• T•••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 31, 2014, registered Mar 28, 2014 (56 days) · Other
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Aug 28, 2012, registered Sep 12, 2012 (15 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Aug 19, 2011, registered Sep 29, 2011 (41 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
- 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