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••••••• E•••• K•••••••
- E••••• J•••• national BD currentsince Jun 16, 2015 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 9, 2015 to May 19, 2015 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 12, 2013 to Dec 1, 2014 · Jersey City, Nj
- T• A••••••••• I••• formerJun 11, 2013 to Dec 1, 2014 · Jersey City, Nj
- W•••• F•••• A••••••• wirehouseMay 14, 2012 to May 14, 2013 · Short Hills, Nj
- S•••••• N••••••• • C••••••• I••••••••• to E••••• J••••left May 19, 2015, registered Jun 16, 2015 (28 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Dec 1, 2014, registered Feb 9, 2015 (70 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 1, 2014, registered Jun 12, 2013 (-537 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left May 14, 2013, registered Jun 11, 2013 (28 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address