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.
D•••• J••••• W•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 4, 2013 · Austin, Tx
- E••••• J•••• national BDAug 16, 2010 to Nov 20, 2012 · St Louis, Mo
- L•••• A••••• • C•• L•• asset managerJun 10, 2005 to Mar 25, 2010 · Jersey City, Nj
- E••••• J•••• to U•• F•••••••• S••••••• I•••left Nov 20, 2012, registered Mar 4, 2013 (104 days) · Affiliated broker-dealer or bank to wirehouse
- L•••• A••••• • C•• L•• to E••••• J••••left Mar 25, 2010, registered Aug 16, 2010 (144 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address