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.
H•••• B• F••••
- E••••• J•••• national BD currentsince Apr 11, 2013 · Beloit, Wi
- B•• H••••• F•••••••• A•••••••• I•• formerJul 11, 2011 to Mar 4, 2013 · Rockford, Il
- E••••• J•••• national BDMay 22, 2009 to Jul 12, 2011 · St Louis, Mo
- B•• H••••• F•••••••• A•••••••• I•• to E••••• J••••left Mar 4, 2013, registered Apr 11, 2013 (38 days) · Other
- E••••• J•••• to B•• H••••• F•••••••• A•••••••• I••left Jul 12, 2011, registered Jul 11, 2011 (-1 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address