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•••• H••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 15, 2011 · Tulsa, Ok
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Aug 15, 2011 · Lavista, Ne
- B••••• • Y•••• A•••••••• I••• formerJan 16, 2008 to Jan 23, 2009 · Folsom, Ca
- E••••• J•••• national BDJan 23, 2007 to Sep 18, 2007 · Tulsa, Ok
- S••••••••• A•••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 15, 2011, registered Aug 15, 2011 (0 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B••••• • Y•••• A•••••••• I•••left Sep 18, 2007, registered Jan 16, 2008 (120 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address