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•• L•••• B••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Mar 2, 2021 · Alexandria, Va
- B••• S••••••••• L•• formerJan 2, 2013 to Mar 2, 2021 · Alexandria, Va
- S•••• • S••••••••• L•• formerNov 6, 2009 to Jan 2, 2013 · Alexandria, Va
- W•••• F•••• A••••••• wirehouseApr 18, 2005 to Nov 11, 2009 · Mclean, Va
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2003 to Apr 18, 2005 · Portsmouth, Nh
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••• • S••••••••• L••left Nov 11, 2009, registered Nov 6, 2009 (-5 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Apr 18, 2005, registered Apr 18, 2005 (0 days) · Wirehouse to wirehouse
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address