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••• A••••• R•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 30, 2015 · Raleigh, Nc
- D•••••••• • C•••••• L•• BD affiliatedApr 11, 2014 to Dec 3, 2015 · Raleigh, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 16, 2014 · Durham, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 23, 2008 to Jun 1, 2009 · Durham, Nc
- D•••••••• • C•••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 3, 2015, registered Nov 30, 2015 (-3 days) · Other · moved with a team
- M••••• S•••••• to D•••••••• • C•••••• L••left Apr 16, 2014, registered Apr 11, 2014 (-5 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address