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.
R•••••• J•••• R••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 12, 2023 · Westminster, Co
- S•• BD affiliatedJan 13, 2023 to Jun 9, 2023 · Ann Arbor, Mi
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 7, 2016 to Feb 4, 2022 · Pittsburgh, Pa
- S•• to L•• F•••••••• L••left Jun 9, 2023, registered Jun 12, 2023 (3 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to S••left Feb 4, 2022, registered Jan 13, 2023 (343 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• R•••• left Spc for L•• F•••••••• L•• (registered 2023-06-12)Jun 9, 2023 · Advisor changed firm · fact
- R•••••• J•••• R•••• left S•••••• N••••••• • C••••••• I••••••••• for Spc (registered 2023-01-13)Feb 4, 2022 · Advisor changed firm · fact
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address