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••• A•••• N•••••
- L•••••• C••••••• L•• independent RIA currentsince Sep 19, 2013 · L••••••, Ne
- W•••• F•••• A••••••• wirehouseJul 29, 2005 to Oct 21, 2013 · L••••••, Ne
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1997 to Jul 27, 2005 · L••••••, Ne
- W•••• F•••• A••••••• to L•••••• C••••••• L••left Oct 21, 2013, registered Sep 19, 2013 (-32 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 27, 2005, registered Jul 29, 2005 (2 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address