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••• F•••• M•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 22, 2018 · Bridgeport, Tx
- I••••••••• P••••••••• I••• formerFeb 28, 2014 to Sep 24, 2018 · Bowie, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Mar 3, 2014 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedNov 10, 2006 to Jan 2, 2009 · Bowie, Tx
- C••••• I••••••••• S••••••• L•• formerDec 13, 1996 to Oct 31, 2006 · Bowie, Tx
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I••••••••• P••••••••• I•••left Mar 3, 2014, registered Feb 28, 2014 (-3 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Oct 31, 2006, registered Nov 10, 2006 (10 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address