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.
G•••••• S•••• A•••••••
- E••••• J•••• national BD currentsince Jul 13, 2015 · Spring Branch, Tx
- C•••••• O•• A•••••••• L•• formerFeb 10, 2015 to Jun 30, 2015 · Franklin, Wa
- E••••• J•••• national BDSep 17, 2012 to Sep 23, 2014 · Baton Rouge, La
- C•••••• O•• A•••••••• L•• to E••••• J••••left Jun 30, 2015, registered Jul 13, 2015 (13 days) · Other
- E••••• J•••• to C•••••• O•• A•••••••• L••left Sep 23, 2014, registered Feb 10, 2015 (140 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