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•• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 22, 2019 · Louisville, Co
- A••••• A•• P••••••• S••••••• BD affiliatedApr 26, 2016 to Jul 25, 2019 · Boulder, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 6, 2012 to Apr 21, 2016 · Worcester, Ma
- I•••••••• C•••••• A••••••• formerMar 26, 2010 to May 18, 2012 · Lynnfield, Ma
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Jul 25, 2019, registered Aug 22, 2019 (28 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Apr 21, 2016, registered Apr 26, 2016 (5 days) · Other
- I•••••••• C•••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 18, 2012, registered Jun 6, 2012 (19 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address