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•••••• E••• E•••••
- M•• F•••••••• S•••••••• I••• BD affiliated currentsince Aug 23, 2007 · Huntsville, Al
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 21, 2004 · Huntsville, Al
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 17, 2002 to Feb 21, 2003 · Huntsville, Al
- P••••••••• E••••• G••••• L•• unclassifiedApr 3, 2002 to Jul 1, 2003 · Huntsville, Al
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Jun 21, 2004, registered Aug 23, 2007 (1158 days) · Other
- P••••••••• E••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 1, 2003, registered May 17, 2002 (-410 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Feb 21, 2003, registered Jul 1, 2003 (130 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address