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.
S•••••••• J•••• R••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Nov 13, 2009 · Tampa, Fl
- G••••••• F••••• formerJun 19, 2003 to Oct 16, 2009 · New York, Ny
- N••••• • L•••• S••••••••• I••• unclassifiedFeb 18, 2000 to Jan 28, 2003 · New York, Ny
- G••••••• F••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 16, 2009, registered Nov 13, 2009 (28 days) · Other
- N••••• • L•••• S••••••••• I••• to G••••••• F•••••left Jan 28, 2003, registered Jun 19, 2003 (142 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address