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••• E••••• E•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 13, 2023 · Keego Harbor, Mi
- C•••••• A••••••• BD affiliatedMar 2, 2015 to Mar 10, 2023 · Sylvan Lake, Mi
- L•••••• I••••••••• independent RIAJun 24, 2014 to Mar 10, 2023 · Keego Harbor, Mi
- C•••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 10, 2023, registered Mar 13, 2023 (3 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•••••• I••••••••• to C•••••• A•••••••left Mar 10, 2023, registered Mar 2, 2015 (-2930 days) · Other · moved with a team
- C••• E••••• E••••••• left C•••••• A••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-03-13)Mar 10, 2023 · Advisor changed firm · fact
- C••• E••••• E••••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2015-03-02)Mar 10, 2023 · 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
- 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