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 Oct 10, 2022 · Bay Village, Oh
- C••••••• S••••••••• I••• BD affiliatedJan 8, 2020 to Dec 31, 2020 · Fairlawn, Oh
- E••••• J•••• national BDJun 24, 2019 to Nov 5, 2019 · St Louis, Mo
- O•••• I••••••••• A•••••••• L•• formerJan 24, 2019 to Jun 27, 2019 · Bellevue, Wa
- C••••••• S••••••••• I••• to E••••• J••••left Dec 31, 2020, registered Oct 10, 2022 (648 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C••••••• S••••••••• I•••left Nov 5, 2019, registered Jan 8, 2020 (64 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• A•••••••• L•• to E••••• J••••left Jun 27, 2019, registered Jun 24, 2019 (-3 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address