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•••• S••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince May 14, 2018 · Jacksonville, Fl
- S•••••••• I••••••••• M••••••••• formerApr 4, 2017 to Mar 9, 2018 · Jacksonville, Fl
- E••••• J•••• national BDAug 13, 2008 to Sep 10, 2008 · St Louis, Mo
- S•••••••• I••••••••• M••••••••• to T••••••• I••••••••• M••••••••• I•••left Mar 9, 2018, registered May 14, 2018 (66 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to S•••••••• I••••••••• M•••••••••left Sep 10, 2008, registered Apr 4, 2017 (3128 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address