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•••• T••••• C••••••••
- S••••••• F•••••••• S••••••• state registered currentsince Jun 23, 2020 · Wilmington, Nc
- S••••••• F•••••••• S••••••• state registeredOct 29, 2012 to Dec 31, 2019 · Woodcliff Lake, Nj
- S••••••• F•••••••• S••••••• state registeredNov 12, 2009 to Aug 22, 2011 · Carlsbad, Ca
- B••••••••• L•• formerDec 10, 2007 to Oct 30, 2009 · Carlsbad, Ca
- M•••••• A••••• A•••••••• I••• unclassifiedJan 19, 2007 to Dec 6, 2007 · Carlsbad, Ca
- L•• F•••••••• L•• BD affiliatedMar 11, 2002 to Jan 30, 2007 · Carlsbad, Ca
- B••••••••• L•• to S••••••• F•••••••• S•••••••left Oct 30, 2009, registered Nov 12, 2009 (13 days) · Other
- M•••••• A••••• A•••••••• I••• to B••••••••• L••left Dec 6, 2007, registered Dec 10, 2007 (4 days) · Other
- L•• F•••••••• L•• to M•••••• A••••• A•••••••• I•••left Jan 30, 2007, registered Jan 19, 2007 (-11 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
- STATE REGISTEREDderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address