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••• M•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 19, 2016 · Greenwood Village, Co
- B•• F•••••••• A••••••• BD affiliatedSep 17, 2013 to Sep 16, 2016 · Parker, Co
- U••• F•••••••• P••••••• S••••••• formerNov 12, 2010 to Sep 5, 2013 · San Antonio, Tx
- B•• F•••••••• A••••••• to W•••• F•••• A•••••••left Sep 16, 2016, registered Aug 19, 2016 (-28 days) · Other
- U••• F•••••••• P••••••• S••••••• to B•• F•••••••• A•••••••left Sep 5, 2013, registered Sep 17, 2013 (12 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address