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••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Oct 16, 2015 · Bedford, Nh
- E••••• J•••• national BDOct 3, 2011 to Sep 17, 2015 · Somersworth, Nh
- O••••••••• • C•• I••• BD affiliatedAug 13, 2008 to Oct 4, 2011 · Portsmouth, Nh
- E••••• J•••• to R•• C•••••• M••••••• L••left Sep 17, 2015, registered Oct 16, 2015 (29 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to E••••• J••••left Oct 4, 2011, registered Oct 3, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address