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•••••• L• T•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 22, 2024 · Saginaw, Mi
- H••••••••• F•••••••• A••••••• BD affiliatedAug 23, 2022 to Oct 10, 2024 · Bay City, Mi
- J••• M••••• S••••••••• L•• wirehouseApr 17, 2019 to Aug 13, 2022 · Saginaw, Mi
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedApr 18, 2016 to Aug 1, 2017 · Saginaw, Mi
- C•••••••• F•••••••• G•••• A••••••• formerSep 15, 2015 to Feb 5, 2016 · Saginaw, Mi
- H•••• F•••••••• S•••••••• I••• independent RIAFeb 2, 2011 to Dec 24, 2014 · Midland, Mi
- H••••••••• F•••••••• A••••••• to J••• M••••• S••••••••• L••left Oct 10, 2024, registered Oct 22, 2024 (12 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Aug 13, 2022, registered Aug 23, 2022 (10 days) · Wirehouse to affiliated broker-dealer or bank
- B•••••• L••• A••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Aug 1, 2017, registered Apr 17, 2019 (624 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••left Feb 5, 2016, registered Apr 18, 2016 (73 days) · Other
- H•••• F•••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Dec 24, 2014, registered Sep 15, 2015 (265 days) · Other
- R•••••• L• T••••• left H••••••••• F•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2024-10-22)Oct 10, 2024 · Advisor changed firm · fact
- R•••••• L• T••••• left J••• M••••• S••••••••• L•• for H••••••••• F•••••••• A••••••• (registered 2022-08-23)Aug 13, 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address