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•••• R•••• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 6, 2014 · Scottsdale, Az
- W•••• F•••• A••••••• wirehouseJul 2, 2008 to Feb 13, 2014 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedApr 12, 2007 to Mar 26, 2008 · Scottsdale, Az
- W•••• F•••• I••••••••• L•• unclassifiedJan 4, 2005 to Mar 26, 2007 · Anchorage, Ak
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 13, 2014, registered Feb 6, 2014 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Mar 26, 2008, registered Jul 2, 2008 (98 days) · Other
- W•••• F•••• I••••••••• L•• to M••••• S•••••• • C•• L••left Mar 26, 2007, registered Apr 12, 2007 (17 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address