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•••••• J••• D•••••••
- E••••• J•••• national BD currentsince Feb 5, 2019 · Jacksonville, Fl
- M•••••• A••••• S••••••••• L•• BD affiliatedSep 17, 2018 to Dec 7, 2018 · San Diego, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedSep 4, 2014 to May 23, 2018 · Marlton, Nj
- P••• A••••• S••••••••• L•• BD affiliatedApr 2, 2014 to Jul 7, 2014 · Marlton, Nj
- M•••••• A••••• S••••••••• L•• to E••••• J••••left Dec 7, 2018, registered Feb 5, 2019 (60 days) · RIA to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to M•••••• A••••• S••••••••• L••left May 23, 2018, registered Sep 17, 2018 (117 days) · Affiliated broker-dealer or bank to independent RIA
- P••• A••••• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Jul 7, 2014, registered Sep 4, 2014 (59 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address