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•••• A•••••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Nov 2, 2012 · Dallas, Tx
- F•• P•••••• W••••• M••••••••• I••• i••••••••• wealthOct 11, 2004 to Oct 13, 2010 · Sioux City, Ia
- P•••• S•••••• • C•• institutionalApr 4, 2001 to Sep 30, 2004 · Sioux City, Ia
- F•• P•••••• W••••• M••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Oct 13, 2010, registered Nov 2, 2012 (751 days) · Other
- P•••• S•••••• • C•• to F•• P•••••• W••••• M••••••••• I•••left Sep 30, 2004, registered Oct 11, 2004 (11 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