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••• S• M•••••••
- E••••• J•••• national BD currentsince Jul 12, 2023 · Boiling Springs, Nc
- W•••• F•••• A••••••• wirehouseSep 20, 2021 to Jul 7, 2023 · Marion, Nc
- O•••• I••••••••• I••• BD affiliatedOct 26, 2020 to Sep 9, 2021 · Shelby, Nc
- W•••• F•••• A••••••• wirehouseJan 20, 2016 to Oct 21, 2020 · Winston Salem, Nc
- W•••• F•••• A••••••• to E••••• J••••left Jul 7, 2023, registered Jul 12, 2023 (5 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 9, 2021, registered Sep 20, 2021 (11 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to O•••• I••••••••• I•••left Oct 21, 2020, registered Oct 26, 2020 (5 days) · Wirehouse to affiliated broker-dealer or bank
- J••• S• M••••••• left W•••• F•••• A••••••• for E••••• J•••• (registered 2023-07-12)Jul 7, 2023 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address