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.
R•••• J• B••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 8, 2018 · Atlanta, Ga
- W•••••• • R••• formerOct 27, 2015 to May 8, 2018 · Atlanta, Ga
- M•• F•••••••• S•••••••• I••• formerApr 19, 2013 to Nov 10, 2015 · Atlanta, Ga
- N•• E•••••• S••••••••• C••••••••• formerMar 17, 2009 to Apr 4, 2013 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2007 to Dec 22, 2008 · Atlanta, Ga
- W•••••• • R••• to J••• M••••• S••••••••• L••left May 8, 2018, registered May 8, 2018 (0 days) · Affiliated broker-dealer or bank to wirehouse
- M•• F•••••••• S•••••••• I••• to W•••••• • R•••left Nov 10, 2015, registered Oct 27, 2015 (-14 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Apr 4, 2013, registered Apr 19, 2013 (15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• E•••••• S••••••••• C•••••••••left Dec 22, 2008, registered Mar 17, 2009 (85 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address