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••• B•••• E••••••
- E••••• J•••• national BD currentsince Jan 21, 2020 · Sioux Falls, Sd
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 7, 2012 to Jan 7, 2020 · Sioux Falls, Sd
- F•••••••• L•• formerJun 2, 2009 to Oct 31, 2012 · Sioux Falls, Sd
- W••••••• F•••••••• S•••••••• I••• formerJul 23, 2007 to Jun 2, 2009 · Sioux Falls, Sd
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••• J••••left Jan 7, 2020, registered Jan 21, 2020 (14 days) · Affiliated broker-dealer or bank to another
- F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 31, 2012, registered Nov 7, 2012 (7 days) · Other
- W••••••• F•••••••• S•••••••• I••• to F•••••••• L••left Jun 2, 2009, registered Jun 2, 2009 (0 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