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.
D••••• M••••
- E••••• J•••• national BD currentsince Jan 30, 2017 · Overland Park, Ks
- W•••••• • R••• formerJun 30, 2015 to Feb 7, 2017 · Shawnee, Ks
- M•• F•••••••• S•••••••• I••• formerNov 27, 2013 to Jun 23, 2015 · Richmond, Va
- N•• E•••••• S••••••••• C••••••••• formerApr 6, 2011 to Dec 20, 2012 · Dallas, Tx
- W•••••• • R••• to E••••• J••••left Feb 7, 2017, registered Jan 30, 2017 (-8 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left Jun 23, 2015, registered Jun 30, 2015 (7 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Dec 20, 2012, registered Nov 27, 2013 (342 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address