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•• D•••• M••••
- I•• W••••• M••••••••• I••• BD affiliated currentsince Mar 31, 2020 · Surprise, Az
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 25, 2013 to Mar 31, 2020 · San Diego, Ca
- P••••••• F•••••••• S•••••••• I••• BD affiliatedSep 20, 2007 to Apr 17, 2013 · Glasgow, Ky
- L•• F•••••••• L•• BD affiliatedAug 9, 1994 to Sep 11, 2007 · Bowling Green, Ky
- I••••••••• F•••••••• G••••• L•• to I•• W••••• M••••••••• I•••left Mar 31, 2020, registered Mar 31, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- P••••••• F•••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left Apr 17, 2013, registered Apr 25, 2013 (8 days) · Other
- L•• F•••••••• L•• to P••••••• F•••••••• S•••••••• I•••left Sep 11, 2007, registered Sep 20, 2007 (9 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address