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•• X••••• H•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 19, 2020 · Charlotte, Nc
- T••••••• A•••••• N••••••• L•• BD affiliatedSep 18, 2020 to Nov 5, 2020 · Naperville, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 30, 2018 to Sep 23, 2020 · Minneapolis, Mn
- L•• F•••••••• L•• BD affiliatedFeb 13, 2017 to Apr 20, 2018 · Fort Mill, Sc
- T••••••• A•••••• N••••••• L•• to R•••••• J•••• • A••••••••• I•••left Nov 5, 2020, registered Nov 19, 2020 (14 days) · Affiliated broker-dealer or bank to another
- T••••••• I••••••••• M••••••••• I••• to T••••••• A•••••• N••••••• L••left Sep 23, 2020, registered Sep 18, 2020 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Apr 20, 2018, registered Apr 30, 2018 (10 days) · RIA to affiliated broker-dealer or bank
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