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.
G•••••• J•••• W••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 30, 2009 · Johnson City, Tn
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 4, 2007 to Mar 27, 2009 · Tucson, Az
- A• G• E•••••• • S•••• I••• unclassifiedNov 15, 2006 to Dec 20, 2006 · Tucson, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 27, 2009, registered Apr 30, 2009 (34 days) · Other
- A• G• E•••••• • S•••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Dec 20, 2006, registered Jan 4, 2007 (15 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