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.
- E••••• J•••• national BD currentsince Feb 24, 2015 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 16, 2012 to Feb 20, 2013 · Sun City West, Az
- N••••••• T•••• S••••••••• I•• BD affiliatedFeb 4, 2008 to Dec 31, 2009 · Oro Valley, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Feb 20, 2013, registered Feb 24, 2015 (734 days) · Wirehouse to affiliated broker-dealer or bank
- N••••••• T•••• S••••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2009, registered Feb 16, 2012 (777 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address