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••• S••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 1, 2021 · Winchester, Va
- P•••••••• S••••••••• I••• BD affiliatedApr 6, 2016 to Jun 25, 2021 · Des Moines, Ia
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Mar 18, 2016 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJul 14, 2011 to Jan 28, 2015 · Melville, Ny
- M•• S••••••••• I••• unclassifiedSep 30, 2004 to Jul 12, 2011 · Baltimore, Md
- B••• I••••••••• S•••••••• I••• formerJun 6, 2002 to Sep 21, 2004 · Charlotte , Nc
- C•••• C•••• F•••••••• S••••••• unclassifiedJan 1, 2002 to Jun 4, 2002 · Bethesda, Md
- P•••••••• S••••••••• I••• to W•••• F•••• A•••••••left Jun 25, 2021, registered Jul 1, 2021 (6 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• A•••••••• L•• to P•••••••• S••••••••• I•••left Mar 18, 2016, registered Apr 6, 2016 (19 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- M•• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Jul 12, 2011, registered Jul 14, 2011 (2 days) · Other
- B••• I••••••••• S•••••••• I••• to M•• S••••••••• I•••left Sep 21, 2004, registered Sep 30, 2004 (9 days) · Other
- C•••• C•••• F•••••••• S••••••• to B••• I••••••••• S•••••••• I•••left Jun 4, 2002, registered Jun 6, 2002 (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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address