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••• T•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 10, 2015 · Grand Lake, Co
- E•••••••• P•• independent RIAJan 7, 2014 to Jul 31, 2014 · Berwyn, Pa
- R•• C•••••• M••••••• L•• national BDDec 7, 2010 to Oct 1, 2013 · Minneapolis, Mn
- E•••••••• P•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 31, 2014, registered Mar 10, 2015 (222 days) · Other
- R•• C•••••• M••••••• L•• to E•••••••• P••left Oct 1, 2013, registered Jan 7, 2014 (98 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address