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••• V•••••• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 23, 2011 · Murrells Inlet, Sc
- T• A••••••••• I••• formerOct 9, 2020 to Oct 14, 2022 · Omaha, Ne
- M•• A••••••• F•••••••• M••••••••• I••• formerMar 23, 2010 to Oct 25, 2011 · Huntersville, Nc
- T•• N•••••• G•••• O• N•••• C•••••••• I••• unclassifiedJul 15, 2004 to Aug 16, 2006 · Charlotte, Nc
- N•••••• G•••• S••••••••• I••• formerOct 30, 2002 to Sep 26, 2008 · Lake Mary, Fl
- T•• N•••••• G•••• O• N•••• C•••••••• I••• unclassifiedDec 31, 2001 to Nov 21, 2003 · Charlotte, Nc
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- M•• A••••••• F•••••••• M••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 25, 2011, registered Nov 23, 2011 (29 days) · Other
- N•••••• G•••• S••••••••• I••• to T•• N•••••• G•••• O• N•••• C•••••••• I•••left Sep 26, 2008, registered Jul 15, 2004 (-1534 days) · Other
- T•• N•••••• G•••• O• N•••• C•••••••• I••• to M•• A••••••• F•••••••• M••••••••• I•••left Aug 16, 2006, registered Mar 23, 2010 (1315 days) · Other
- T•• N•••••• G•••• O• N•••• C•••••••• I••• to N•••••• G•••• S••••••••• I•••left Nov 21, 2003, registered Oct 30, 2002 (-387 days) · Other
- J••• V•••••• S•••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPDOct 14, 2022 · Advisor departure · fact
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address