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.
J••••• T•••••• B••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 8, 2020 · Auburn, Mi
- E••••• J•••• national BDJun 12, 2020 to Sep 17, 2020 · Midland, Mi
- L•• F•••••••• L•• BD affiliatedApr 22, 2019 to Aug 27, 2020 · Mesquite, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 3, 2019 to Apr 30, 2019 · Addison, Tx
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Mar 9, 2018 · Saint Louis, Mo
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 21, 2012 to Nov 8, 2013 · Northville, Mi
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Sep 17, 2020, registered Oct 8, 2020 (21 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to E••••• J••••left Aug 27, 2020, registered Jun 12, 2020 (-76 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to L•• F•••••••• L••left Apr 30, 2019, registered Apr 22, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• I••••••••• M••••••••• to U••• I••••••••• S••••••• C••••••left Mar 9, 2018, registered Jan 3, 2019 (300 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••••• I••••••••• M•••••••••left Nov 8, 2013, registered Jan 25, 2017 (1174 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address