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••• M•••• G•••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 21, 2014 · Fort Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerSep 25, 2012 to Oct 1, 2012 · West Palm Beach, Fl
- J••• M••••• S••••••••• L•• wirehouseAug 10, 2011 to Sep 12, 2012 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 2, 2010 to Aug 2, 2011 · Seattle, Wa
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Jun 11, 2010 · Fort Worth, Tx
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Fort Worth, Tx
- C•••• I••••••••• S••••••• C•••• formerDec 2, 2005 to Nov 28, 2006 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedDec 2, 2005 to Sep 27, 2006 · Arlington, Tx
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered May 21, 2014 (597 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 12, 2012, registered Sep 25, 2012 (13 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Aug 2, 2011, registered Aug 10, 2011 (8 days) · Other
- J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left Jun 11, 2010, registered Jul 2, 2010 (21 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••left Nov 28, 2006, registered Sep 27, 2006 (-62 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Sep 27, 2006, registered Dec 2, 2005 (-299 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