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•••• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 18, 2016 · Myrtle Beach, Sc
- A••••••••• F•••••••• S•••••••• L•• national BDMar 27, 2009 to Apr 25, 2014 · New Haven, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Mar 27, 2009 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 4, 2004 to Jan 2, 2009 · Wallingford, Ct
- C•••••• S••••• • C••• I••• national BDJan 18, 2001 to Jan 29, 2004 · Hartford, Ct
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 25, 2014, registered Oct 18, 2016 (907 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Mar 27, 2009, registered Mar 27, 2009 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 29, 2004, registered Feb 4, 2004 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address