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.
D•••• J•••••• H•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 24, 2017 · Newburgh, In
- I••••••••• C•••••• O• A••••••• I••• formerNov 2, 2015 to Oct 25, 2017 · Evansville, In
- I••••••••• P••••••••• I••• formerJun 15, 2007 to Nov 17, 2015 · Evansville, In
- F•••• T•••• S••••••••• I••• BD affiliatedSep 1, 2005 to Mar 2, 2007 · Newburgh, In
- I••••••••• C•••••• O• A••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 25, 2017, registered Nov 24, 2017 (30 days) · Other
- I••••••••• P••••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Nov 17, 2015, registered Nov 2, 2015 (-15 days) · Other
- F•••• T•••• S••••••••• I••• to I••••••••• P••••••••• I•••left Mar 2, 2007, registered Jun 15, 2007 (105 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address