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.
- E••••• J•••• national BD currentsince Jan 16, 2024 · St. Louis, Mo
- P•••• S••••••••• L•• no RAUMSep 5, 2023 to Dec 18, 2023 · Fort Wayne, In
- E••••• J•••• national BDJan 17, 2018 to Aug 17, 2022 · Auburn, In
- P•••• S••••••••• L•• to E••••• J••••left Dec 18, 2023, registered Jan 16, 2024 (29 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•••• S••••••••• L••left Aug 17, 2022, registered Sep 5, 2023 (384 days) · Affiliated broker-dealer or bank to another
- S•••••• L• C•••••• left P•••• S••••••••• L•• for E••••• J•••• (registered 2024-01-16)Dec 18, 2023 · Advisor changed firm · fact
- S•••••• L• C•••••• left E••••• J•••• for P•••• S••••••••• L•• (registered 2023-09-05)Aug 17, 2022 · Advisor changed firm · fact
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