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.
S•••• J•• S••••• P•••••••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2013 · Evansville, In
- S•••••• S••••••••• I••• BD affiliatedJan 24, 2013 to Apr 5, 2013 · Columbus, Ga
- L•• F•••••••• L•• BD affiliatedNov 30, 2009 to Sep 21, 2012 · Fort Mill, Sc
- I••••• F•••••••• C••••••••• formerJan 4, 2006 to Dec 1, 2009 · Evansville, In
- O•• I••••••••• S•••••••• I••• unclassifiedAug 13, 2002 to Dec 1, 2005 · Evansville, In
- S•••••• S••••••••• I••• to L•• F•••••••• L••left Apr 5, 2013, registered May 15, 2013 (40 days) · Other
- L•• F•••••••• L•• to S•••••• S••••••••• I•••left Sep 21, 2012, registered Jan 24, 2013 (125 days) · Other
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Dec 1, 2009, registered Nov 30, 2009 (-1 days) · Other
- O•• I••••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Dec 1, 2005, registered Jan 4, 2006 (34 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address