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••• S•••• O••••••
- O••••••••• • C•• I••• BD affiliated currentsince Jan 1, 2018 · Winston-Salem, Nc
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 15, 2016 to Dec 20, 2017 · Raleigh, Nc
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 21, 2009 to May 2, 2016 · Carmel, In
- C•••••••• I••••••••• R••••••• A•••••••• I••• to O••••••••• • C•• I•••left Dec 20, 2017, registered Jan 1, 2018 (12 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 2, 2016, registered Apr 15, 2016 (-17 days) · Other · moved with a team
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address