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••• T••••• B••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 1, 2020 · Austin, Tx
- J••• F••••••••• I••• formerFeb 21, 2017 to Mar 28, 2018 · Austin, Tx
- E•••••••• A••••••• formerJan 17, 2017 to Mar 2, 2017 · Austin, Tx
- D••••••••• W••••• S••••••••• I••• formerFeb 6, 2013 to Dec 31, 2015 · Austin, Tx
- D••••••••• F••• A••••••• L• asset managerFeb 17, 2010 to Feb 26, 2013 · Austin, Tx
- C••••••••• F•••••••• N•••••• national BDSep 10, 2003 to Dec 31, 2009 · Waltham, Ma
- J••• F••••••••• I••• to C••••••••• F•••••••• N••••••left Mar 28, 2018, registered Jun 1, 2020 (796 days) · Other
- E•••••••• A••••••• to J••• F••••••••• I•••left Mar 2, 2017, registered Feb 21, 2017 (-9 days) · Other
- D••••••••• W••••• S••••••••• I••• to E•••••••• A•••••••left Dec 31, 2015, registered Jan 17, 2017 (383 days) · Other
- D••••••••• F••• A••••••• L• to D••••••••• W••••• S••••••••• I•••left Feb 26, 2013, registered Feb 6, 2013 (-20 days) · Other
- C••••••••• F•••••••• N•••••• to D••••••••• F••• A••••••• L•left Dec 31, 2009, registered Feb 17, 2010 (48 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address