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••••• A••• B•••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 5, 2021 · Reston, Va
- T• A••••••••• I••• formerFeb 8, 2018 to Oct 20, 2021 · St. Louis, Mo
- N••• F•••••• A•••• M••••••••• L•• formerFeb 10, 2015 to Jun 16, 2016 · Reston, Va
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 20, 2021, registered Oct 5, 2021 (-15 days) · channel change inside one enterprise, not a move
- N••• F•••••• A•••• M••••••••• L•• to T• A••••••••• I•••left Jun 16, 2016, registered Feb 8, 2018 (602 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address