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.
M•••••• A•••• J••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 27, 2015 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• formerMay 6, 2008 to Jul 22, 2015 · Richmond, Va
- M••••• K••••• • C••••••• L•• formerApr 11, 2007 to Aug 15, 2007 · Birmingham, Al
- P••• A•••••••• I••• unclassifiedNov 28, 2006 to Apr 11, 2007 · Richmond, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 21, 2003 to May 5, 2006 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 22, 2015, registered Jul 27, 2015 (5 days) · Other
- M••••• K••••• • C••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Aug 15, 2007, registered May 6, 2008 (265 days) · Other
- P••• A•••••••• I••• to M••••• K••••• • C••••••• L••left Apr 11, 2007, registered Apr 11, 2007 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P••• A•••••••• I•••left May 5, 2006, registered Nov 28, 2006 (207 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