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•••• national BD currentsince Nov 8, 2018 · St. Louis, Mo
- E••••• J•••• national BDSep 5, 2017 to Mar 20, 2018 · Wilmington, Nc
- F•••• T•••• A••••••• L• asset managerJul 30, 2012 to May 24, 2017 · Wheaton, Il
- O••••••••• institutionalMay 31, 2010 to Nov 13, 2012 · Leawood, Ks
- F•••• T•••• A••••••• L• to E••••• J••••left May 24, 2017, registered Sep 5, 2017 (104 days) · Other
- O••••••••• to F•••• T•••• A••••••• L•left Nov 13, 2012, registered Jul 30, 2012 (-106 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address