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 Oct 20, 2017 · Spokane, Wa
- C••• F•••••••• S•••••••• L••• formerDec 8, 2015 to Sep 13, 2017 · Coeur D Alene, Id
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2012 to Dec 10, 2015 · Spokane, Wa
- E••••• J•••• national BDSep 24, 2008 to Dec 31, 2011 · St Louis, Mo
- C••• F•••••••• S•••••••• L••• to E••••• J••••left Sep 13, 2017, registered Oct 20, 2017 (37 days) · Other
- V•••• F•••••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••left Dec 10, 2015, registered Dec 8, 2015 (-2 days) · Other
- E••••• J•••• to V•••• F•••••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 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