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.
D•••••• C•••••••• O•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 1, 2019 · Novi, Mi
- C••••••• A•••• M••••••••• L•• BD affiliatedSep 10, 2018 to Aug 23, 2019 · Troy, Mi
- L••• K••• • C•••••• formerAug 3, 2012 to Aug 21, 2018 · Troy, Mi
- L•••••• A•• C•••••• formerDec 17, 2010 to Jul 23, 2012 · Troy, Mi
- C••••••• A•••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 23, 2019, registered Aug 1, 2019 (-22 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••• K••• • C•••••• to C••••••• A•••• M••••••••• L••left Aug 21, 2018, registered Sep 10, 2018 (20 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•••••• A•• C•••••• to L••• K••• • C••••••left Jul 23, 2012, registered Aug 3, 2012 (11 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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address