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•••• C••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 1, 2022 · Reston, Va
- T• A••••••••• I••• formerOct 2, 2014 to Oct 14, 2022 · Washington, Dc
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 30, 2014 to Sep 7, 2023 · Washington, Dc
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedMar 2, 2011 to Sep 16, 2014 · Mclean, Va
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Oct 2, 2014 (-3262 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Mar 1, 2022 (-227 days) · channel change inside one enterprise, not a move · moved with a team
- T• R••• P•••• A••••••• S•••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 16, 2014, registered Sep 30, 2014 (14 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address