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.
- S•• BD affiliated currentsince Aug 29, 2022 · Ann Arbor, Mi
- L•• F•••••••• L•• BD affiliatedJun 27, 2022 to Aug 25, 2022 · Fort Mill, Sc
- S•• BD affiliatedApr 19, 2016 to Jun 6, 2022 · Ann Arbor, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 17, 2014 to Jun 2, 2015 · Ann Arbor, Mi
- L•• F•••••••• L•• to S••left Aug 25, 2022, registered Aug 29, 2022 (4 days) · RIA to affiliated broker-dealer or bank
- S•• to L•• F•••••••• L••left Jun 6, 2022, registered Jun 27, 2022 (21 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••left Jun 2, 2015, registered Apr 19, 2016 (322 days) · Other
- G••••• W• H••••••• left L•• F•••••••• L•• for Spc (registered 2022-08-29)Aug 25, 2022 · Advisor changed firm · fact
- G••••• W• H••••••• left Spc for L•• F•••••••• L•• (registered 2022-06-27)Jun 6, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address