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••• E••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 23, 2015 · Evergreen, Co
- F••••• I••••••••• independent RIAMar 20, 2014 to Apr 22, 2015 · Grafton, Wi
- R•••••• I••••••••• asset managerApr 8, 2008 to Mar 6, 2014 · Seattle, Wa
- S•••••••• A••••••• L•• national BDSep 18, 2001 to Jul 15, 2008 · Austin, Tx
- F••••• I••••••••• to J••• M••••• S••••••••• L••left Apr 22, 2015, registered Jun 23, 2015 (62 days) · Other
- R•••••• I••••••••• to F••••• I•••••••••left Mar 6, 2014, registered Mar 20, 2014 (14 days) · Other
- S•••••••• A••••••• L•• to R•••••• I•••••••••left Jul 15, 2008, registered Apr 8, 2008 (-98 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address