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•••• S••••• B••••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 8, 2024 · Myrtle Beach, Sc
- A•••• P•••• A••••••• formerSep 18, 2020 to Nov 8, 2024 · Dunkirk, Md
- S•• A•••••••• I••• formerJan 14, 2010 to Sep 18, 2020 · Dunkirk, Md
- M•••••••• A••••••• S•••••••• L•• unclassifiedFeb 21, 1997 to Dec 31, 2009 · Dunkirk, Md
- A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
- S•• A•••••••• I••• to A•••• P•••• A•••••••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- M•••••••• A••••••• S•••••••• L•• to S•• A•••••••• I•••left Dec 31, 2009, registered Jan 14, 2010 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address