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••• M••• R•••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 21, 2024 · Biddeford, Me
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 2, 2022 to Oct 31, 2024 · Arlington, Va
- B• R•••• W••••• M••••••••• formerJan 21, 2015 to Mar 31, 2023 · New York, Ny
- D••••••• • D••••••• L•• formerMar 6, 2006 to Jan 26, 2015 · Leesburg, Va
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Oct 28, 2003 · New York, Ny
- P••••••• L•• unclassifiedJul 25, 2002 to Jan 17, 2003 · New York, Ny
- B• R•••• W••••• A•••••••• I••• to O••••••••• • C•• I•••left Oct 31, 2024, registered Oct 21, 2024 (-10 days) · Affiliated broker-dealer or bank to another
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Mar 31, 2023, registered Aug 2, 2022 (-241 days) · Affiliated broker-dealer or bank to another
- D••••••• • D••••••• L•• to B• R•••• W••••• M•••••••••left Jan 26, 2015, registered Jan 21, 2015 (-5 days) · Other · moved with a team
- C••••• S••••• S••••••••• •••• L•• to D••••••• • D••••••• L••left Oct 28, 2003, registered Mar 6, 2006 (860 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- J••• M••• R••• left B• R•••• W••••• A•••••••• I••• for O••••••••• • C•• I••• (registered 2024-10-21)Oct 31, 2024 · Advisor changed firm · fact
- J••• M••• R••• left B• R•••• W••••• M••••••••• for B• R•••• W••••• A•••••••• I••• (registered 2022-08-02)Mar 31, 2023 · Advisor changed firm · fact
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address