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.
P•••••• T••••• O••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 16, 2018 · Plymouth, Mi
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 20, 2018 · Livonia, Mi
- M••••• S•••••• • C•• L•• unclassifiedOct 31, 2008 to Jun 1, 2009 · Livonia, Mi
- U•• F•••••••• S••••••• I••• wirehouseJul 23, 1997 to Nov 6, 2008 · Plymouth, Mi
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 20, 2018, registered Feb 16, 2018 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Nov 6, 2008, registered Oct 31, 2008 (-6 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address