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•••• R••••••• M••••
- R•• O•• C•••••• A••••••• state registered currentsince Feb 7, 2012 · Salmon, Id
- H•••••• T••••••• • K•••• L•• independent RIAApr 24, 2009 to Apr 27, 2011 · Fuquay Varina, Nc
- E•••••••• A•••••••• L•• national BDApr 12, 2004 to Jan 8, 2008 · New York, Ny
- H•••••• T••••••• • K•••• L•• to R•• O•• C•••••• A•••••••left Apr 27, 2011, registered Feb 7, 2012 (286 days) · Other
- E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••left Jan 8, 2008, registered Apr 24, 2009 (472 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address