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.
O••••• C•••••••• P•••
- E••••• J•••• national BD currentsince Jan 18, 2019 · Gatesville, Tx
- P•• M•••••• A•••••• S••••••••• I••• formerOct 4, 2017 to Jan 17, 2019 · Woodway, Tx
- L•• F•••••••• L•• BD affiliatedJul 28, 2015 to Sep 22, 2017 · Chippewa Falls, Wi
- P•• M•••••• A•••••• S••••••••• I••• to E••••• J••••left Jan 17, 2019, registered Jan 18, 2019 (1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to P•• M•••••• A•••••• S••••••••• I•••left Sep 22, 2017, registered Oct 4, 2017 (12 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address