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.
M••••••• E••• J••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 17, 2020 · Appleton, Wi
- I••••••••• P••••••••• I••• formerJul 10, 2014 to Sep 24, 2018 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedDec 13, 2005 to Aug 7, 2014 · Galena, Il
- A• G• E•••••• • S•••• I••• unclassifiedMar 24, 2005 to Dec 19, 2005 · Boise, Id
- C••••• A•••••• N••••••• L•• formerJul 8, 1997 to Apr 13, 2005 · Monterey, Ca
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Sep 17, 2020 (724 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Aug 7, 2014, registered Jul 10, 2014 (-28 days) · Other
- A• G• E•••••• • S•••• I••• to L•• F•••••••• L••left Dec 19, 2005, registered Dec 13, 2005 (-6 days) · Other
- C••••• A•••••• N••••••• L•• to A• G• E•••••• • S•••• I•••left Apr 13, 2005, registered Mar 24, 2005 (-20 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address