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.
E••••• J••••• S••••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Oct 23, 2018 · Albuquerque, Nm
- S• A•••••••• L•• independent RIASep 26, 2018 to Oct 11, 2018 · Albuquerque, Nm
- S••••••••• A•••••• A•••••••• I••• formerDec 13, 2013 to Aug 28, 2018 · Albuquerque, Nm
- M•• F•••••••• S•••••••• I••• formerNov 3, 2009 to Dec 9, 2009 · Albuquerque, Nm
- H•••••• S••••••••• I••• BD affiliatedJun 11, 2008 to Aug 7, 2008 · Albuquerque, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 1998 to May 14, 2008 · Albuquerque, Nm
- S• A•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Oct 11, 2018, registered Oct 23, 2018 (12 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to S• A•••••••• L••left Aug 28, 2018, registered Sep 26, 2018 (29 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 9, 2009, registered Dec 13, 2013 (1465 days) · Other
- H•••••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••left Aug 7, 2008, registered Nov 3, 2009 (453 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• S••••••••• I•••left May 14, 2008, registered Jun 11, 2008 (28 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