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•••• E•••••• T•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Feb 1, 2016 · Warrenton, Va
- S••••••• I••••••••• S•••••••• I••• formerOct 28, 2013 to Nov 25, 2015 · Chantilly, Va
- W•••• F•••• A••••••• wirehouseFeb 19, 2009 to Oct 22, 2013 · Columbia, Md
- U•• F•••••••• S••••••• I••• wirehouseNov 30, 2007 to Jan 27, 2009 · Mclean, Va
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 10, 2007 to Oct 4, 2007 · Mclean, Va
- S••••••• I••••••••• S•••••••• I••• to T••••••• I••••••••• M••••••••• I•••left Nov 25, 2015, registered Feb 1, 2016 (68 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Oct 22, 2013, registered Oct 28, 2013 (6 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 27, 2009, registered Feb 19, 2009 (23 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Oct 4, 2007, registered Nov 30, 2007 (57 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address