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.
J••••• J•••• D••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 23, 2019 · Mill Creek, Wa
- U••• B•••••• I••••••••• I••• formerOct 13, 2017 to Sep 27, 2019 · Seattle, Wa
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 25, 2017 · Phoenix, Az
- C•••• I••••••••• S••••••• C•••• formerJun 16, 2010 to Oct 1, 2012 · Scottsdale, Az
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 27, 2019, registered Sep 23, 2019 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 25, 2017, registered Oct 13, 2017 (-12 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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