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•••• K•••••• J••••••
- E••••• J•••• national BD currentsince Feb 10, 2022 · Escondido, Ca
- P•• M•••••• A•••••• S••••••••• I••• formerOct 1, 2013 to Apr 3, 2018 · Carlsbad, Ca
- E••••• J•••• national BDSep 27, 2010 to Apr 4, 2012 · St Louis, Mo
- P•• M•••••• A•••••• S••••••••• I••• to E••••• J••••left Apr 3, 2018, registered Feb 10, 2022 (1409 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• M•••••• A•••••• S••••••••• I•••left Apr 4, 2012, registered Oct 1, 2013 (545 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address