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••••• S•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 15, 2020 · Sarasota, Fl
- C••••• S••••• S••••••••• •••• L•• formerMay 9, 2007 to Sep 11, 2013 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerJul 25, 2003 to Dec 31, 2005 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerJun 13, 2003 to Jun 13, 2003 · New York, Ny
- R•••••••• S•••••••• I••• unclassifiedSep 6, 2001 to Aug 27, 2002 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• to R•••••• J•••• • A••••••••• I•••left Sep 11, 2013, registered Dec 15, 2020 (2652 days) · Other
- L••••••• A•••• M••••••••• L•• to C••••• S••••• S••••••••• •••• L••left Dec 31, 2005, registered May 9, 2007 (494 days) · Other
- R•••••••• S•••••••• I••• to L••••••• A•••• M••••••••• L••left Aug 27, 2002, registered Jun 13, 2003 (290 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