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•••• J••• G••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 22, 2021 · St. Petersburg, Fl
- K••••• A••••••• S•••••••• L•• BD affiliatedJul 29, 2016 to Apr 30, 2021 · Phoenix, Az
- S•• I••••••••• I••• formerSep 2, 2009 to Jul 21, 2016 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerJul 10, 2006 to May 6, 2009 · Tempe, Az
- K••••• A••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Apr 30, 2021, registered Oct 22, 2021 (175 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to K••••• A••••••• S•••••••• L••left Jul 21, 2016, registered Jul 29, 2016 (8 days) · Other · moved with a team
- S•••••••• F••••••••• I••• to S•• I••••••••• I•••left May 6, 2009, registered Sep 2, 2009 (119 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address