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.
B•••••• A••••• T•••••••
- E•••••••• A•••••••• L•• national BD currentsince Sep 20, 2021 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseJun 25, 2021 to Sep 20, 2021 · St. Louis, Mo
- R•••••• J•••• • A••••••••• I••• national BDDec 2, 2011 to Feb 28, 2013 · Ridgeland, Ms
- W•••• F•••• A••••••• wirehouseAug 10, 2009 to Dec 6, 2011 · Ridgeland, Ms
- W•••• F•••• A••••••• to E•••••••• A•••••••• L••left Sep 20, 2021, registered Sep 20, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Feb 28, 2013, registered Jun 25, 2021 (3039 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Dec 6, 2011, registered Dec 2, 2011 (-4 days) · Wirehouse to affiliated broker-dealer or bank
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address