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.
E••••• L••••• P••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 9, 2018 · Scottsdale, Az
- B•• F•••••••• A••••••• BD affiliatedMay 2, 2014 to Aug 31, 2018 · Tulsa, Ok
- Z•••• C•••••• A•••••••• I••• institutionalNov 23, 2010 to Apr 18, 2014 · Scottsdale, Az
- M••••••• B••• unclassifiedJan 19, 2006 to Dec 20, 2006 · Oklahoma City, Ok
- U•• F•••••••• S••••••• I••• wirehouseJan 7, 2005 to Sep 22, 2005 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 15, 2002 to Jan 11, 2005 · Scottsdale, Az
- B•• F•••••••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 31, 2018, registered Aug 9, 2018 (-22 days) · Affiliated broker-dealer or bank to another
- Z•••• C•••••• A•••••••• I••• to B•• F•••••••• A•••••••left Apr 18, 2014, registered May 2, 2014 (14 days) · Other
- M••••••• B••• to Z•••• C•••••• A•••••••• I•••left Dec 20, 2006, registered Nov 23, 2010 (1434 days) · Other
- U•• F•••••••• S••••••• I••• to M••••••• B•••left Sep 22, 2005, registered Jan 19, 2006 (119 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 11, 2005, registered Jan 7, 2005 (-4 days) · Wirehouse to wirehouse
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address