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•••••• L••• O••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 6, 2019 · Rockville, Md
- C•••••• G•••• • C• I•• formerFeb 11, 2010 to Mar 4, 2019 · Syracuse, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 8, 2010 · Sioux City, Ia
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 7, 2002 to Jun 1, 2009 · Sioux City, Ia
- C•••••• G•••• • C• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 4, 2019, registered Mar 6, 2019 (2 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to C•••••• G•••• • C• I••left Mar 8, 2010, registered Feb 11, 2010 (-25 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address