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•••• C•••••• M••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jan 28, 2015 · Murray, Ky
- B••• I••••••••• S•••••••• I••• formerNov 5, 2012 to Dec 18, 2014 · Charlotte, Nc
- F•••• T•••• S••••••••• I••• BD affiliatedMay 14, 2012 to Nov 1, 2012 · Eddyville, Ky
- C••• F•••••••• S•••••••• L••• formerSep 24, 2007 to Apr 25, 2012 · San Diego, Ca
- I••••••••• P••••••••• I••• formerMay 30, 2007 to Sep 13, 2007 · San Antonio, Tx
- B••• I••••••••• S•••••••• I••• formerJul 24, 2006 to May 17, 2007 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Dec 18, 2014, registered Jan 28, 2015 (41 days) · Other
- F•••• T•••• S••••••••• I••• to B••• I••••••••• S•••••••• I•••left Nov 1, 2012, registered Nov 5, 2012 (4 days) · Other
- C••• F•••••••• S•••••••• L••• to F•••• T•••• S••••••••• I•••left Apr 25, 2012, registered May 14, 2012 (19 days) · Other
- I••••••••• P••••••••• I••• to C••• F•••••••• S•••••••• L•••left Sep 13, 2007, registered Sep 24, 2007 (11 days) · Other
- B••• I••••••••• S•••••••• I••• to I••••••••• P••••••••• I•••left May 17, 2007, registered May 30, 2007 (13 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