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.
M• J••••• M••••••••
- E••••• J•••• national BD currentsince Apr 4, 2016 · Lafayette, In
- N•••••••• B••••• B• L•• no RAUMApr 8, 2014 to Apr 13, 2016 · Russiaville, In
- L•••• A••••• • C•• L•• asset managerJul 9, 2012 to Apr 10, 2014 · Jersey City, Nj
- N•••••••• B••••• B• L•• to E••••• J••••left Apr 13, 2016, registered Apr 4, 2016 (-9 days) · Other
- L•••• A••••• • C•• L•• to N•••••••• B••••• B• L••left Apr 10, 2014, registered Apr 8, 2014 (-2 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address