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••• B• F••••
- E••••• J•••• national BD currentsince Nov 7, 2022 · San Antonio, Tx
- V•• A••••••• S••••••• formerJan 13, 2014 to Dec 31, 2014 · Shawnee, Ks
- N•• E•••••• S••••••••• C••••••••• formerSep 28, 2011 to Feb 22, 2012 · Austin, Tx
- E•••••••• A•••••••• L•• national BDMay 18, 2007 to Aug 31, 2011 · Austin, Tx
- W•••• F•••• I••••••••• L•• unclassifiedApr 3, 2007 to May 8, 2007 · Austin, Tx
- V•• A••••••• S••••••• to E••••• J••••left Dec 31, 2014, registered Nov 7, 2022 (2868 days) · Other
- N•• E•••••• S••••••••• C••••••••• to V•• A••••••• S•••••••left Feb 22, 2012, registered Jan 13, 2014 (691 days) · Other
- E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Aug 31, 2011, registered Sep 28, 2011 (28 days) · Other
- W•••• F•••• I••••••••• L•• to E•••••••• A•••••••• L••left May 8, 2007, registered May 18, 2007 (10 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