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•••• Z•••••• T••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince May 6, 2020 · Denver, Co
- P•••••• W••••• A••••••• G•••• formerOct 9, 2018 to Mar 26, 2020 · San Jose, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Oct 22, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 9, 2010 to Jul 13, 2018 · Cincinnati, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDMar 7, 2003 to Mar 28, 2003 · Plantation, Fl
- P•••••• W••••• A••••••• G•••• to S••••• W••••• A•••••••• I•••left Mar 26, 2020, registered May 6, 2020 (41 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to P•••••• W••••• A••••••• G••••left Oct 22, 2018, registered Oct 9, 2018 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Mar 28, 2003, registered Apr 9, 2010 (2569 days) · Affiliated broker-dealer or bank to another
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
- No RAUM reportedderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address