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••• L••• M•••••••••
- N••••••••• S••••••••• L•• no RAUM currentsince Oct 26, 2022 · San Diego, Ca
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedDec 20, 2012 to Oct 25, 2022 · Columbus, Oh
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 7, 2008 to Dec 13, 2012 · San Diego, Ca
- M•• F•••••••• S•••••••• I••• formerDec 2, 2005 to Aug 18, 2008 · Colorado Springs, Co
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedSep 8, 2005 to Dec 31, 2005 · Denver, Co
- N••••••••• I••••••••• A•••••••• L•• to N••••••••• S••••••••• L••left Oct 25, 2022, registered Oct 26, 2022 (1 days) · Other
- V•••• F•••••••• A•••••••• I••• to N••••••••• I••••••••• A•••••••• L••left Dec 13, 2012, registered Dec 20, 2012 (7 days) · Other
- M•• F•••••••• S•••••••• I••• to V•••• F•••••••• A•••••••• I•••left Aug 18, 2008, registered Aug 7, 2008 (-11 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 2, 2005 (-29 days) · corporate re-registration, not a move
- J••• L••• M••••••••• left N••••••••• I••••••••• A•••••••• L•• for N••••••••• S••••••••• L•• (registered 2022-10-26)Oct 25, 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
- No RAUM reportedderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address