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.
J•••• A•••• S••••••
- S•••••• W••••• M••••••••• state registered currentsince Dec 4, 2006 · Fargo, Nd
- G••••• W••••• M••••••••• I••• BD affiliatedJul 21, 2004 to Jan 3, 2007 · Fargo, Nd
- C••••• A•••••• N••••••• L•• formerMar 23, 1995 to Jul 9, 2004 · Fargo, Nd
- G••••• W••••• M••••••••• I••• to S•••••• W••••• M•••••••••left Jan 3, 2007, registered Dec 4, 2006 (-30 days) · Other
- C••••• A•••••• N••••••• L•• to G••••• W••••• M••••••••• I•••left Jul 9, 2004, registered Jul 21, 2004 (12 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
- STATE REGISTEREDderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address