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.
D••••• C•••••••• F•••••
- E••••• J•••• national BD currentsince Mar 4, 2024 · Fredericksburg, Va
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Mar 4, 2024 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerFeb 20, 2015 to Dec 15, 2015 · Stafford, Va
- F•••• C•••••• A••••••• S••••••• to E••••• J••••left Mar 4, 2024, registered Mar 4, 2024 (0 days) · Affiliated broker-dealer or bank to another
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
- D••••• C•••••••• F••••• left F•••• C•••••• A••••••• S••••••• for E••••• J•••• (registered 2024-03-04)Mar 4, 2024 · Advisor changed firm · fact
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address