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••• C•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 30, 2004 · Santa Fe, Nm
- B••••• A••••••• formerJan 29, 2003 to May 3, 2004 · Honolulu, Hi
- B••••••• I••••••••• S•••••••• I••• ••••• formerSep 13, 2002 to Dec 16, 2002 · Lihue, Hi
- B••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left May 3, 2004, registered Jul 30, 2004 (88 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to B••••• A•••••••left Dec 16, 2002, registered Jan 29, 2003 (44 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address