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.
L••• L••• C•••
- E••••• J•••• national BD currentsince Jan 24, 2012 · Buckhannon, Wv
- H••••••••• F•••••••• A••••••• BD affiliatedSep 28, 2011 to Jan 12, 2012 · Charleston, Wv
- B••• I••••••••• I••••••••• A•••••••• I••• formerMar 22, 2011 to Feb 10, 2012 · Greenville, Sc
- B••• A•••• M••••••••• I••• unclassifiedFeb 3, 2010 to Nov 8, 2010 · Charleston, Wv
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 6, 2006 to Apr 16, 2009 · Charleston, Wv
- B••• I••••••••• I••••••••• A•••••••• I••• to H••••••••• F•••••••• A•••••••left Feb 10, 2012, registered Sep 28, 2011 (-135 days) · Other
- H••••••••• F•••••••• A••••••• to E••••• J••••left Jan 12, 2012, registered Jan 24, 2012 (12 days) · Other
- B••• A•••• M••••••••• I••• to B••• I••••••••• I••••••••• A•••••••• I•••left Nov 8, 2010, registered Mar 22, 2011 (134 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• A•••• M••••••••• I•••left Apr 16, 2009, registered Feb 3, 2010 (293 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address