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.
N••••• S•••••• M••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 14, 2022 · Londonderry, Nh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 29, 2015 to Jul 19, 2016 · Grass Valley, Ca
- M••••• S•••••• wirehouseJun 12, 2014 to Apr 7, 2015 · Shreveport, La
- J••• M••••• S••••••••• L•• wirehouseSep 30, 2013 to May 28, 2014 · Shreveport, La
- U••• I••••••••• S••••••• C•••••• no RAUMSep 12, 2007 to Jul 5, 2012 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMay 18, 2005 to Sep 12, 2007 · San Antonio, Tx
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•• F•••••••• S••••••• I•••left Jul 19, 2016, registered Mar 14, 2022 (2064 days) · Other
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 7, 2015, registered Apr 29, 2015 (22 days) · Other
- J••• M••••• S••••••••• L•• to M••••• S••••••left May 28, 2014, registered Jun 12, 2014 (15 days) · Wirehouse to wirehouse
- U••• I••••••••• S••••••• C•••••• to J••• M••••• S••••••••• L••left Jul 5, 2012, registered Sep 30, 2013 (452 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Sep 12, 2007, registered Sep 12, 2007 (0 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address