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.
C•••••• L••• S••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 3, 2017 · Southfield, Mi
- R•••••• J•••• • A••••••••• I••• national BDApr 21, 2016 to Nov 4, 2016 · Southfield, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2015 to Feb 11, 2016 · Bloomfield Hills, Mi
- F•••••••• S••••••• A••••••• I•• independent RIAJan 27, 2014 to Apr 27, 2015 · Virginia Beach, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 11, 2016, registered Apr 21, 2016 (70 days) · Wirehouse to affiliated broker-dealer or bank
- F•••••••• S••••••• A••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 27, 2015, registered Dec 10, 2015 (227 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address