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.
S• M••••• J••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Kansas City, Mo
- S••••••• I••••••••• I••• formerDec 28, 2015 to Nov 2, 2018 · Lake Stevens, Wa
- S••••••• F•••••••• S•••••••• I••• formerOct 16, 2012 to Jan 7, 2016 · Bellevue, Wa
- E••••• J•••• national BDDec 14, 2006 to Oct 23, 2012 · St Louis, Mo
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Jan 7, 2016, registered Dec 28, 2015 (-10 days) · channel change inside one enterprise, not a move
- E••••• J•••• to S••••••• F•••••••• S•••••••• I•••left Oct 23, 2012, registered Oct 16, 2012 (-7 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address