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.
B•••• E• H•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 16, 2019 · Webster, Tx
- W•••••• • R••• formerSep 7, 2006 to Oct 17, 2019 · Santa Fe, Nm
- A••••••••• F•••••••• S•••••••• L•• national BDJun 7, 2005 to Sep 6, 2006 · Denver, Co
- W•••••• • R••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 17, 2019, registered Oct 16, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Sep 6, 2006, registered Sep 7, 2006 (1 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