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•• H••••••
- E••••• J•••• national BD currentsince Aug 17, 2012 · Grants Pass, Or
- C••• F•••••••• S•••••••• L••• formerOct 1, 2009 to Aug 10, 2012 · Grants Pass, Or
- C••• B•••••••• S•••••••• I••• formerApr 28, 2006 to Oct 5, 2009 · Grant Pass, Or
- C••• F•••••••• S•••••••• L••• to E••••• J••••left Aug 10, 2012, registered Aug 17, 2012 (7 days) · Other
- C••• B•••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 5, 2009, registered Oct 1, 2009 (-4 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address