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•••• J••• B••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 19, 2015 · Hermitage, Tn
- W•••• F•••• A••••••• wirehouseOct 15, 2007 to Oct 2, 2008 · Addison, Tx
- W••• I••••••••• I••• unclassifiedJul 10, 2006 to Oct 16, 2007 · Dallas, Tx
- C••••••• F•••••••• D••••••• I••• BD affiliatedJan 27, 2006 to Jun 13, 2006 · Sellersburg, In
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 22, 2004 to Jul 27, 2004 · Louisville, Ky
- E•••••••• A•••••••• L•• national BDJul 24, 2002 to Nov 25, 2002 · Louisville, Ky
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 2, 2008, registered May 19, 2015 (2420 days) · Other
- W••• I••••••••• I••• to W•••• F•••• A•••••••left Oct 16, 2007, registered Oct 15, 2007 (-1 days) · Other
- C••••••• F•••••••• D••••••• I••• to W••• I••••••••• I•••left Jun 13, 2006, registered Jul 10, 2006 (27 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••• F•••••••• D••••••• I•••left Jul 27, 2004, registered Jan 27, 2006 (549 days) · Other
- E•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Nov 25, 2002, registered Jan 22, 2004 (423 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address