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.
M•••••• D••••• R•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 28, 2018 · Tempe , Az
- C••••••• S••••••••• I••• BD affiliatedFeb 8, 2018 to May 14, 2018 · Providence, Ri
- S•••••••• S••••••••• BD affiliatedAug 16, 2016 to Dec 5, 2017 · Providence, Ri
- J••• M••••• S••••••••• L•• wirehouseMar 13, 2015 to Jun 13, 2016 · Highland Park, Il
- C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••left May 14, 2018, registered Jun 28, 2018 (45 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• S••••••••• to C••••••• S••••••••• I•••left Dec 5, 2017, registered Feb 8, 2018 (65 days) · Other
- J••• M••••• S••••••••• L•• to S•••••••• S•••••••••left Jun 13, 2016, registered Aug 16, 2016 (64 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address