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•••• G••••
- E•••••••• A•••••••• L•• national BD currentsince Aug 26, 2009 · Springfield, Il
- V•••• F•••••••• A•••••••• I••• BD affiliatedMar 30, 2004 to Nov 28, 2008 · Springfield, Il
- B••• O•• S••••••••• C••••••••• unclassifiedJul 22, 2003 to Sep 24, 2003 · Springfield, Il
- V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••left Nov 28, 2008, registered Aug 26, 2009 (271 days) · Other
- B••• O•• S••••••••• C••••••••• to V•••• F•••••••• A•••••••• I•••left Sep 24, 2003, registered Mar 30, 2004 (188 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address