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••••• J••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 15, 2016 · Needham, Ma
- 1•• G••••• A••••••• I•• formerNov 20, 2012 to Jul 1, 2015 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedJun 18, 2012 to Nov 27, 2012 · Raleigh, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDNov 26, 1997 to Jul 6, 2012 · Raleigh, Nc
- 1•• G••••• A••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Jul 1, 2015, registered Sep 15, 2016 (442 days) · Other
- L•• F•••••••• L•• to 1•• G••••• A••••••• I••left Nov 27, 2012, registered Nov 20, 2012 (-7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 6, 2012, registered Jun 18, 2012 (-18 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address