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.
R••••• J••••• S••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 23, 2021 · Gales Ferry, Ct
- O•••• F•• I••• formerNov 18, 2014 to Apr 29, 2021 · Gales Ferry, Ct
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Nov 5, 2014 · Newport, Ri
- F•••• C•••••• B••• unclassifiedJan 4, 2005 to Sep 2, 2005 · Fort Worth, Tx
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 29, 2021, registered Apr 23, 2021 (-6 days) · corporate re-registration, not a move
- F•••• C•••••• F•••••••• P•••••••• I••• to O•••• F•• I•••left Nov 5, 2014, registered Nov 18, 2014 (13 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address