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••••• R•••• B••••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Feb 2, 2023 · Woodbury, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 1, 2012 to Mar 28, 2019 · Torrance, Ca
- E••••• J•••• national BDSep 20, 2006 to Jan 5, 2012 · Long Beach, Ca
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to V••••••••• A••••••• S•••••••left Mar 28, 2019, registered Feb 2, 2023 (1407 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 5, 2012, registered Mar 1, 2012 (56 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