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•••• C••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Apr 20, 2018 · Ormond Beach, Fl
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 25, 2018 · Port Orange, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 4, 2015 to Dec 5, 2017 · Ormond Beach, Fl
- O•••• F•• I••• formerSep 6, 2013 to Jun 1, 2015 · Sacramento, Ca
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 25, 2018, registered Apr 20, 2018 (-5 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 5, 2017, registered Nov 29, 2017 (-6 days) · corporate re-registration, not a move
- O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 1, 2015, registered Jun 4, 2015 (3 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
- 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