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••••• S••••••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jan 10, 2020 · Charlotte, Nc
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerJun 14, 2010 to Oct 9, 2015 · Salem, Or
- N••• C••••••••• BD affiliatedAug 6, 2008 to Jun 15, 2010 · Salem, Or
- W•••••• S••••••••• C••••••••• unclassifiedJan 22, 2007 to Jul 1, 2008 · Salem, Or
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to I• F•••••••• A••••••• S••••••• L••left Oct 9, 2015, registered Jan 10, 2020 (1554 days) · Other
- N••• C••••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Jun 15, 2010, registered Jun 14, 2010 (-1 days) · Other
- W•••••• S••••••••• C••••••••• to N••• C•••••••••left Jul 1, 2008, registered Aug 6, 2008 (36 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address