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.
M•• K•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Grand Rapids, Mi
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 21, 2022 to Mar 31, 2025 · Grand Rapids, Mi
- C• I••••••••• L•• independent RIAOct 8, 2019 to Aug 31, 2021 · Auburn, In
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 22, 2019 to Oct 7, 2019 · Kalamazoo, Mi
- G••••••• W••••• M••••••••• BD affiliatedNov 16, 2018 to Dec 6, 2018 · Grand Rapids, Mi
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C• I••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 31, 2021, registered Apr 21, 2022 (233 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C• I••••••••• L••left Oct 7, 2019, registered Oct 8, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA
- G••••••• W••••• M••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 6, 2018, registered Apr 22, 2019 (137 days) · Affiliated broker-dealer or bank to another
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address