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•••• national BD currentsince Jan 5, 2024 · Gurnee, Il
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 7, 2023 to Nov 21, 2023 · Charlotte, Nc
- P•• W••••• M••••••••• BD affiliatedMar 8, 2017 to Sep 16, 2020 · Charlotte, Nc
- E••••• J•••• national BDApr 25, 2016 to Feb 14, 2017 · Lexington, Nc
- A••••• A•• P••••••• S••••••• to E••••• J••••left Nov 21, 2023, registered Jan 5, 2024 (45 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Sep 16, 2020, registered Feb 7, 2023 (874 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• W••••• M•••••••••left Feb 14, 2017, registered Mar 8, 2017 (22 days) · Other
- R••••• T•••••••• left A••••• A•• P••••••• S••••••• for E••••• J•••• (registered 2024-01-05)Nov 21, 2023 · Advisor changed firm · fact
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address