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••• M•••••• J••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 20, 2017 · Bellevue, Ne
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 14, 2015 to Sep 19, 2017 · Bellevue, Ne
- S••••••• F•••••••• S•••••••• I••• formerMay 20, 2013 to Aug 17, 2015 · Bellevue, Ne
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 26, 2004 to May 7, 2013 · Bellevue, Ne
- L••••• A••••••• S•••••••• I••• unclassifiedJan 22, 2002 to Mar 29, 2004 · Bellevue, Ne
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 19, 2017, registered Sep 20, 2017 (1 days) · Other · moved with a team
- S••••••• F•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 17, 2015, registered Aug 14, 2015 (-3 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••• F•••••••• S•••••••• I•••left May 7, 2013, registered May 20, 2013 (13 days) · Other
- L••••• A••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Mar 29, 2004, registered Mar 26, 2004 (-3 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