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••••• F••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 22, 2015 · Woodstown, Nj
- Q•••••• A•••• M••••••••• I••• formerAug 5, 2010 to Jan 23, 2015 · Minneapolis, Mn
- Q•••••• A•••• M••••••••• I••• formerSep 1, 2006 to Aug 5, 2010 · Woodstown, Nj
- U•••••••• S••••••••• I••• unclassifiedMay 10, 2005 to Jun 16, 2006 · Woodstown, Nj
- I••••••••• A••••••• S••••••• I•• formerJul 7, 2004 to Dec 31, 2004 · Woodstown, Nj
- Q•••••• A•••• M••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 23, 2015, registered Jan 22, 2015 (-1 days) · Other
- U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 16, 2006, registered Sep 1, 2006 (77 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to U•••••••• S••••••••• I•••left Dec 31, 2004, registered May 10, 2005 (130 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address