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.
P•••• J•••• A••••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Oct 3, 2022 · Folsom, Ca
- J•••••• A••••••• G••••• L•• independent RIAFeb 19, 2016 to Sep 30, 2022 · Covington, Ky
- E••••• J•••• national BDNov 9, 2009 to Jan 20, 2016 · St Louis, Mo
- J•••••• A••••••• G••••• L•• to A••••••• F••••••••• L•••left Sep 30, 2022, registered Oct 3, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to J•••••• A••••••• G••••• L••left Jan 20, 2016, registered Feb 19, 2016 (30 days) · Other
- P•••• J•••• A•••••••• left J•••••• A••••••• G••••• L•• for A••••••• F••••••••• L••• (registered 2022-10-03)Sep 30, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address