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••• J••••• M•••••••
- M••••••• I••••••••• A••••••• L•• state registered currentsince Aug 27, 2014 · Guilford, Ct
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Nov 30, 2015 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerMar 8, 2006 to Jan 30, 2015 · Madison, Ct
- L•• F•••••••• L•• BD affiliatedMay 28, 2004 to Mar 9, 2006 · Madison, Ct
- M••• S••••• M••••••••• C•••••• unclassifiedJan 3, 2000 to Jun 2, 2004 · Madison, Ct
- S••••• A••••••• I••• to no registered destinationleft Nov 30, 2015 · Departure, no registered destination
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to M••••••• I••••••••• A••••••• L••left Jan 30, 2015, registered Aug 27, 2014 (-156 days) · Other
- L•• F•••••••• L•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Mar 9, 2006, registered Mar 8, 2006 (-1 days) · Other
- M••• S••••• M••••••••• C•••••• to L•• F•••••••• L••left Jun 2, 2004, registered May 28, 2004 (-5 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address