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••••• J••• M•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 13, 2017 · Kernersville, Nc
- S•••••• W••••• P•••••••• L•• BD affiliatedJan 16, 2013 to Jul 11, 2013 · Winston Salem, Nc
- L•• F•••••••• L•• BD affiliatedApr 1, 2009 to Nov 13, 2017 · Winston-Salem, Nc
- E••••• J•••• national BDFeb 8, 2007 to Jan 7, 2009 · St. Louis, Mo
- L•• F•••••••• L•• to S•••••• W••••• P•••••••• L••left Nov 13, 2017, registered Jan 16, 2013 (-1762 days) · Other
- S•••••• W••••• P•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 11, 2013, registered Nov 13, 2017 (1586 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Jan 7, 2009, registered Apr 1, 2009 (84 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address