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•••••• R••• N••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 7, 2012 · Seneca, Sc
- C• W••••• M••••••••• L•• i••••••••• wealthJul 18, 2011 to Oct 26, 2011 · Schaumburg, Il
- G••••• S••••••••• I••• formerFeb 28, 2011 to Jun 23, 2011 · Atlanta, Ga
- Q•• F•••••••• L•• unclassifiedFeb 2, 2011 to Feb 11, 2011 · Atlanta, Ga
- F•••••••• S••••••••• L•• unclassifiedJan 28, 2009 to Sep 30, 2011 · Roseville, Ca
- C• W••••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••left Oct 26, 2011, registered Sep 7, 2012 (317 days) · Other
- F•••••••• S••••••••• L•• to Q•• F•••••••• L••left Sep 30, 2011, registered Feb 2, 2011 (-240 days) · Other
- G••••• S••••••••• I••• to C• W••••• M••••••••• L••left Jun 23, 2011, registered Jul 18, 2011 (25 days) · Other
- Q•• F•••••••• L•• to G••••• S••••••••• I•••left Feb 11, 2011, registered Feb 28, 2011 (17 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address