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 6, 2017 · Sapulpa, Ok
- B•• F•••••••• A••••••• BD affiliatedMar 27, 2015 to Oct 30, 2017 · Tulsa, Ok
- E••••• J•••• national BDDec 17, 2012 to Feb 13, 2014 · St Louis, Mo
- B•• F•••••••• A••••••• to E••••• J••••left Oct 30, 2017, registered Oct 6, 2017 (-24 days) · Other
- E••••• J•••• to B•• F•••••••• A•••••••left Feb 13, 2014, registered Mar 27, 2015 (407 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address