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.
T••••• J••• S••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Clarkston, Mi
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 18, 2021 to Mar 31, 2025 · Westlake, Tx
- E•••••• C•••••• M••••••••• L•• formerFeb 11, 2020 to Jul 8, 2021 · Arlington, Va
- M••••• S•••••• wirehouseNov 21, 2018 to Jan 27, 2020 · Birmingham, 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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 8, 2021, registered Aug 18, 2021 (41 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Jan 27, 2020, registered Feb 11, 2020 (15 days) · channel change inside one enterprise, not a move
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