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• N•••••
- E•••• S••••••••• L•• BD affiliated currentsince Aug 25, 2020 · Charlotte, Nc
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIASep 12, 2017 to Dec 17, 2019 · Wilmington, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 12, 2003 to Mar 28, 2017 · Newport Beach, Ca
- M••••• O• O•••• I••••••• S•••••••• I••• to E•••• S••••••••• L••left Dec 17, 2019, registered Aug 25, 2020 (252 days) · Other
- M•• I•••••••• S•••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left Mar 28, 2017, registered Sep 12, 2017 (168 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address