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••• A•••• B•••••••
- A••••••••• I••• BD affiliated currentsince Nov 17, 2016 · Concord, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 1, 2005 to Jul 18, 2005 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 19, 2002 to May 9, 2003 · Roanoke, Va
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••••• I•••left Jul 18, 2005, registered Nov 17, 2016 (4140 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 9, 2003, registered Apr 1, 2005 (693 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address