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.
N••••••• S••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 27, 2018 · Troy, Mi
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Mar 9, 2018 · Saint Louis, Mo
- C•••••• S••••• • C••• I••• national BDFeb 4, 2015 to Oct 19, 2016 · Troy, Mi
- C••••••• S••••••••• I••• BD affiliatedDec 9, 2013 to Jan 8, 2015 · Sterling Heights, Mi
- M•••••••• C••••••• L•• state registeredJan 25, 2013 to Dec 2, 2013 · Sterling Heights, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 12, 2011 to Oct 30, 2012 · Clinton Township, Mi
- S•••••••• I••••••••• M••••••••• to C•••••• S••••• • C••• I•••left Mar 9, 2018, registered Mar 27, 2018 (18 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••• S••••• • C••• I••• to S•••••••• I••••••••• M•••••••••left Oct 19, 2016, registered Jan 25, 2017 (98 days) · Other
- C••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Jan 8, 2015, registered Feb 4, 2015 (27 days) · Other
- M•••••••• C••••••• L•• to C••••••• S••••••••• I•••left Dec 2, 2013, registered Dec 9, 2013 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••••• C••••••• L••left Oct 30, 2012, registered Jan 25, 2013 (87 days) · Wirehouse to a state-registered adviser
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address