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.
S••• J• B••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 2, 2016 · St. Petersburg, Fl
- N••• F•••••••• G••••• I••• formerAug 5, 2015 to Oct 27, 2015 · Houston, Tx
- C••• F•••••••• S•••••••• L••• formerMay 19, 2014 to Feb 6, 2015 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedJan 5, 2010 to Dec 17, 2013 · San Diego, Ca
- N••• F•••••••• G••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 27, 2015, registered Sep 2, 2016 (311 days) · Other
- C••• F•••••••• S•••••••• L••• to N••• F•••••••• G••••• I•••left Feb 6, 2015, registered Aug 5, 2015 (180 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Dec 17, 2013, registered May 19, 2014 (153 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address