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••• S•••• L•••
- J•••••• M••••••• W••••• M••••••••• L•• independent RIA currentsince Jul 12, 2019 · Florham Park, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 29, 2016 to Jul 12, 2019 · Mobile, Al
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Mar 3, 2016 · Mobile, Al
- P••••••••• E••••• G••••• L•• unclassifiedJun 15, 1998 to Jul 1, 2003 · Mobile, Al
- S•••••• N••••••• • C••••••• I••••••••• to J•••••• M••••••• W••••• M••••••••• L••left Jul 12, 2019, registered Jul 12, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 3, 2016, registered Feb 29, 2016 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address