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.
C•••••• D• B••••••
- E••••• J•••• national BD currentsince Feb 1, 2018 · Murfreesboro, Tn
- S••••••••• S••••••••• I••• unclassifiedDec 17, 2003 to Mar 15, 2004 · Las Vegas, Nv
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 25, 2003 to Jul 24, 2003 · Las Vegas, Nv
- W•••• F•••• A••••••• wirehouseSep 13, 2001 to Feb 12, 2003 · Las Vegas, Nv
- S••••••••• S••••••••• I••• to E••••• J••••left Mar 15, 2004, registered Feb 1, 2018 (5071 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to S••••••••• S••••••••• I•••left Jul 24, 2003, registered Dec 17, 2003 (146 days) · Other
- W•••• F•••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 12, 2003, registered Feb 25, 2003 (13 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address