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••• C••••• P••••
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset manager currentsince Sep 21, 2023 · Charlotte, Nc
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerMay 1, 2010 to Sep 20, 2023 · Minneapolis, Mn
- B••• A•••••••• L•• formerFeb 11, 2005 to May 7, 2010 · Charlotte, Nc
- B•••• D••••••••• L•• unclassifiedJan 1, 2003 to Feb 11, 2005 · Charlotte, Nc
- S••••••• BD affiliatedMay 7, 2002 to Jan 1, 2003 · Charlotte , Nc
- B••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left May 7, 2010, registered May 1, 2010 (-6 days) · corporate re-registration, not a move
- B•••• D••••••••• L•• to B••• A•••••••• L••left Feb 11, 2005, registered Feb 11, 2005 (0 days) · Other
- S••••••• to B•••• D••••••••• L••left Jan 1, 2003, registered Jan 1, 2003 (0 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address