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•••• P•••• C•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 25, 2015 · Las Vegas, Nv
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 5, 2015 · Las Vegas, Nv
- C•••• I••••••••• S••••••• C•••• formerJul 13, 2009 to Oct 1, 2012 · Las Vegas, Nv
- Z•••• C•••••• A•••••••• I••• institutionalApr 22, 2008 to May 28, 2009 · Las Vegas, Nv
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 5, 2015, registered Mar 25, 2015 (79 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Z•••• C•••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left May 28, 2009, registered Jul 13, 2009 (46 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address