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•••• J•••• F•••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Apr 22, 2016 · Washington, Dc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 4, 2014 to Dec 8, 2016 · Washington, Dc
- W•••• F•••• A••••••• wirehouseFeb 13, 2006 to Oct 20, 2014 · Frederick, Md
- C••••••• I••••••••• S••••••• unclassifiedJun 24, 2002 to Jan 18, 2006 · Washington, Dc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Dec 8, 2016, registered Apr 22, 2016 (-230 days) · Other · moved with a team
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 20, 2014, registered Nov 4, 2014 (15 days) · Other
- C••••••• I••••••••• S••••••• to W•••• F•••• A•••••••left Jan 18, 2006, registered Feb 13, 2006 (26 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address