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.
V••••••• L•• K•••
- M••••• S•••••• wirehouse currentsince Aug 17, 2023 · Springfield, Mo
- R•••••• J•••• • A••••••••• I••• national BDSep 19, 2019 to Aug 22, 2023 · Holland, Mi
- O•••• I••••••••• I••• BD affiliatedApr 21, 2017 to Aug 29, 2019 · Zeeland, Mi
- W•••• F•••• A••••••• wirehouseJun 27, 2016 to Apr 17, 2017 · Pueblo, Co
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Aug 22, 2023, registered Aug 17, 2023 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- O•••• I••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Aug 29, 2019, registered Sep 19, 2019 (21 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Apr 17, 2017, registered Apr 21, 2017 (4 days) · Other
- V••••••• L•• K••• left R•••••• J•••• • A••••••••• I••• for M••••• S•••••• (registered 2023-08-17)Aug 22, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address