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•••••• T••• J••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 19, 2010 · North Haven, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 8, 2008 to Oct 22, 2010 · New Haven, Ct
- W•••• F•••• A••••••• wirehouseJan 5, 2006 to Oct 9, 2008 · New Haven, Ct
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 22, 2010, registered Oct 19, 2010 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Oct 9, 2008, registered Oct 8, 2008 (-1 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address