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•••••• L•••• M•••••
- E••••• J•••• national BD currentsince Dec 2, 2019 · Gardnerville, Nv
- U••• B•••••• I••••••••• I••• formerSep 28, 2012 to Dec 2, 2019 · Reno, Nv
- E••••• J•••• national BDOct 4, 2007 to Oct 1, 2012 · Sparks, Nv
- U••• B•••••• I••••••••• I••• to E••••• J••••left Dec 2, 2019, registered Dec 2, 2019 (0 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Oct 1, 2012, registered Sep 28, 2012 (-3 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address