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•••••••• W•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 23, 2019 · Santa Rosa, Ca
- B•• F•••••••• A••••••• BD affiliatedMar 6, 2018 to Sep 30, 2019 · Plano, Tx
- J••• M••••• S••••••••• L•• wirehouseAug 13, 2014 to Jul 12, 2017 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2011 to Jul 18, 2014 · Dallas, Tx
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedDec 24, 2008 to Nov 7, 2011 · Columbus, Oh
- S••• I••••••••• C•••••• independent RIAMar 4, 2008 to Nov 18, 2008 · San Antonio, Tx
- B•• F•••••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 30, 2019, registered Sep 23, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to B•• F•••••••• A•••••••left Jul 12, 2017, registered Mar 6, 2018 (237 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jul 18, 2014, registered Aug 13, 2014 (26 days) · Wirehouse to wirehouse
- N••••••••• I••••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 7, 2011, registered Dec 1, 2011 (24 days) · Other
- S••• I••••••••• C•••••• to N••••••••• I••••••••• A•••••••• L••left Nov 18, 2008, registered Dec 24, 2008 (36 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