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•••••• J••••• D••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · San Diego, Ca
- N••••••••• I••••••••• A•••••••• L•• BD affiliatedOct 13, 2016 to Aug 7, 2018 · Columbus, Oh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 12, 2015 to Oct 3, 2016 · Gold River, Ca
- E••••• J•••• national BDSep 3, 2013 to Oct 30, 2015 · Lincoln, Ca
- N••••••••• I••••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 7, 2018, registered Mar 21, 2024 (2053 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• I••••••••• A•••••••• L••left Oct 3, 2016, registered Oct 13, 2016 (10 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 30, 2015, registered Nov 12, 2015 (13 days) · Affiliated broker-dealer or bank to wirehouse
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address