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.
P•••••• J•••• O••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Feb 8, 2016 · Wheaton, Il
- S••••••• F•••••••• S•••••••• I••• formerJan 28, 2008 to Jan 21, 2016 · Minneapolis, Mn
- C•• S••••••••• L•• formerJan 28, 2008 to Jan 21, 2016 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• to C•• S••••••••• L••left Jan 21, 2016, registered Jan 28, 2008 (-2915 days) · channel change inside one enterprise, not a move
- C•• S••••••••• L•• to A••••• A•• P••••••• S•••••••left Jan 21, 2016, registered Feb 8, 2016 (18 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address