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••••••• E••••••
- G•• S••••••••• I••• BD affiliated currentsince Mar 28, 2014 · Palm Beach Gardens, Fl
- O••••••••• S••••••••• I••• BD affiliatedApr 10, 2012 to Apr 3, 2014 · Newport Beach, Ca
- E•••••••• A•••••••• L•• national BDApr 18, 2006 to Apr 18, 2012 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 21, 2005 to Sep 22, 2005 · La Verne, Ca
- O••••••••• S••••••••• I••• to G•• S••••••••• I•••left Apr 3, 2014, registered Mar 28, 2014 (-6 days) · Other
- E•••••••• A•••••••• L•• to O••••••••• S••••••••• I•••left Apr 18, 2012, registered Apr 10, 2012 (-8 days) · Other
- W•••• F•••• I••••••••• L•• to E•••••••• A•••••••• L••left Sep 22, 2005, registered Apr 18, 2006 (208 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address