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.
B•••••• E•••••• C••••••
- E••••• J•••• national BD currentsince Dec 1, 2015 · St. Louis, Mo
- O••••••••• S••••••••• I••• BD affiliatedNov 14, 2013 to Mar 13, 2015 · Scottsdale, Az
- F•••• H•••••••• C••••••••• I••• BD affiliatedOct 6, 2010 to Jan 12, 2011 · Fountain Hills, Az
- P•••••••• S••••••••• I••• BD affiliatedOct 29, 2008 to Jun 7, 2010 · Phoenix, Az
- O•••• F•• I••• formerSep 5, 2003 to May 11, 2006 · Paradise Valley, Az
- O••••••••• S••••••••• I••• to E••••• J••••left Mar 13, 2015, registered Dec 1, 2015 (263 days) · Other
- F•••• H•••••••• C••••••••• I••• to O••••••••• S••••••••• I•••left Jan 12, 2011, registered Nov 14, 2013 (1037 days) · Other
- P•••••••• S••••••••• I••• to F•••• H•••••••• C••••••••• I•••left Jun 7, 2010, registered Oct 6, 2010 (121 days) · Other
- O•••• F•• I••• to P•••••••• S••••••••• I•••left May 11, 2006, registered Oct 29, 2008 (902 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address