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.
C•••••• N••••• D••••
- E••••• J•••• national BD currentsince Apr 18, 2019 · Somerset, Ky
- J••••• H•••••••• W••• L••••• L•• formerMay 9, 2008 to May 20, 2014 · Somerset, Ky
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to May 14, 2008 · Somerset, Ky
- A• G• E•••••• • S•••• I••• unclassifiedFeb 27, 2006 to Jan 1, 2008 · St. Louis, Mo
- J••••• H•••••••• W••• L••••• L•• to E••••• J••••left May 20, 2014, registered Apr 18, 2019 (1794 days) · Other
- W•••• F•••• A••••••• to J••••• H•••••••• W••• L••••• L••left May 14, 2008, registered May 9, 2008 (-5 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address