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••• D••• S•••••••
- E••••• J•••• national BD currentsince Sep 10, 2009 · Coeur D'Alene, Id
- L•••• F••• A••••••• S••••••• BD affiliatedOct 11, 2005 to Nov 19, 2007 · Tucson, Az
- S••••••••• A•••••• A•••••••• I••• formerOct 30, 2002 to Sep 2, 2009 · Tucson, Az
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 1, 2002 to Oct 1, 2002 · Tucson, Az
- S••••••••• A•••••• A•••••••• I••• to L•••• F••• A••••••• S•••••••left Sep 2, 2009, registered Oct 11, 2005 (-1422 days) · Other
- L•••• F••• A••••••• S••••••• to E••••• J••••left Nov 19, 2007, registered Sep 10, 2009 (661 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 1, 2002, registered Oct 30, 2002 (29 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