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.
- E••••• J•••• national BD currentsince Aug 13, 2021 · St. Louis, Mo
- C•••••• C•••••• W••••• M••••••••• L•• mixed wealthJun 18, 2021 to Aug 5, 2021 · Ann Arbor, Mi
- J••• M••••• S••••••••• L•• wirehouseNov 25, 2019 to Mar 23, 2021 · Traverse City, Mi
- E••••• J•••• national BDApr 9, 2019 to Sep 14, 2019 · Bay City, Mi
- C•••••• C•••••• W••••• M••••••••• L•• to E••••• J••••left Aug 5, 2021, registered Aug 13, 2021 (8 days) · Other
- J••• M••••• S••••••••• L•• to C•••••• C•••••• W••••• M••••••••• L••left Mar 23, 2021, registered Jun 18, 2021 (87 days) · Other
- E••••• J•••• to J••• M••••• S••••••••• L••left Sep 14, 2019, registered Nov 25, 2019 (72 days) · Affiliated broker-dealer or bank to wirehouse
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