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.
J••••• E••••• G••••••••
- C•• A•••••••• L•• independent RIA currentsince Jun 9, 2021 · Manhattan, Ks
- R•••••• J•••• • A••••••••• I••• national BDMay 1, 2018 to Jun 10, 2021 · New York, Ny
- M••••• S•••••• wirehouseApr 10, 2017 to Apr 17, 2018 · New Haven, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2014 to Feb 22, 2017 · Hartford, Ct
- R•••••• J•••• • A••••••••• I••• to C•• A•••••••• L••left Jun 10, 2021, registered Jun 9, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Apr 17, 2018, registered May 1, 2018 (14 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 22, 2017, registered Apr 10, 2017 (47 days) · Wirehouse 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address