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•••• D•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2014 · Boise, Id
- W•••••• S••••••••• I••• BD affiliatedFeb 8, 2008 to Apr 9, 2014 · Boise, Id
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 1, 2004 to Feb 13, 2008 · Boise, Id
- M••••• S•••••• D• I••• unclassifiedMar 15, 2004 to Nov 2, 2004 · Boise, Id
- W•••••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 9, 2014, registered Apr 4, 2014 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• S••••••••• I•••left Feb 13, 2008, registered Feb 8, 2008 (-5 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 2, 2004, registered Nov 1, 2004 (-1 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