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••• P••• S••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 28, 2014 · Auburn, Al
- P•• M•••••• A•••••• S••••••••• I••• formerOct 18, 2010 to Oct 21, 2010 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 3, 2007 to Mar 3, 2014 · Columbus, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 2, 2002 to Aug 13, 2007 · Opelika, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••left Mar 3, 2014, registered Oct 18, 2010 (-1232 days) · Other
- P•• M•••••• A•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 21, 2010, registered Feb 28, 2014 (1226 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 13, 2007, registered Aug 3, 2007 (-10 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