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•••• F•••••• F•••••
- E••••• J•••• national BD currentsince Nov 8, 2017 · Carson City, Nv
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Nov 7, 2017 · Reno, Nv
- W•••• F•••• I••••••••• L•• unclassifiedAug 25, 2008 to Jan 3, 2011 · Reno, Nv
- K••••• A•••••••• I••• BD affiliatedAug 15, 2006 to Aug 27, 2008 · Ft. Lauderdale, Fl
- K••••• S••••••••• I••• unclassifiedJan 4, 2005 to Aug 15, 2006 · Spokane, Wa
- C••••••••• A•••••••• I•• formerJan 5, 2004 to Dec 31, 2004 · Incline Village, Nv
- R•• C•••••• M••••••• L•• national BDJun 8, 2001 to Sep 16, 2003 · Reno, Nv
- W•••• F•••• A••••••• to E••••• J••••left Nov 7, 2017, registered Nov 8, 2017 (1 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- K••••• A•••••••• I••• to W•••• F•••• I••••••••• L••left Aug 27, 2008, registered Aug 25, 2008 (-2 days) · Other
- K••••• S••••••••• I••• to K••••• A•••••••• I•••left Aug 15, 2006, registered Aug 15, 2006 (0 days) · Other
- C••••••••• A•••••••• I•• to K••••• S••••••••• I•••left Dec 31, 2004, registered Jan 4, 2005 (4 days) · Other
- R•• C•••••• M••••••• L•• to C••••••••• A•••••••• I••left Sep 16, 2003, registered Jan 5, 2004 (111 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address