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•••••• J••• B••••••
- A••••• F•••••••• A•••••••• L•• independent RIA currentsince Jun 20, 2014 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerJan 24, 2012 to Nov 13, 2012 · Sacramento, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · San Jose, Ca
- C••••••• I••••••••• S••••••• unclassifiedFeb 28, 2007 to May 29, 2007 · Vacaville, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 13, 2001 to Mar 8, 2007 · Sacramento, Ca
- M•• F•••••••• S•••••••• I••• to A••••• F•••••••• A•••••••• L••left Nov 13, 2012, registered Jun 20, 2014 (584 days) · Other
- C•••••••• G••••• M•••••• I••• to M•• F•••••••• S•••••••• I•••left Dec 17, 2009, registered Jan 24, 2012 (768 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••••• I••••••••• S•••••••left Mar 8, 2007, registered Feb 28, 2007 (-8 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address