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•••• L••••••• T•••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 10, 2009 · Charlotte, Nc
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedFeb 18, 2003 to Apr 30, 2007 · Milwaukee, Wi
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 30, 2002 to Apr 8, 2009 · Charlotte, Nc
- N••••••••• M••••• I••••••••• S••••••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Apr 8, 2009, registered Feb 18, 2003 (-2241 days) · Other
- N••••••••• M••••• W••••• M••••••••• C•••••• to M•• I•••••••• S•••••••• L••left Apr 30, 2007, registered Jun 10, 2009 (772 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address