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.
L••••• B••• H•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 22, 2021 · Chattanooga, Tn
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 23, 2012 to Oct 22, 2021 · Crown Point, In
- W•••• F•••• A••••••• wirehouseJan 15, 2008 to Oct 19, 2012 · St. Louis, Mo
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 29, 2007 to Jan 17, 2008 · Valparasio, In
- S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Oct 22, 2021, registered Oct 22, 2021 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 19, 2012, registered Oct 23, 2012 (4 days) · Wirehouse to affiliated broker-dealer or bank
- R••••• W• B•••• • C•• I••••••••• to W•••• F•••• A•••••••left Jan 17, 2008, registered Jan 15, 2008 (-2 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address