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.
R•••• J••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 13, 2024 · Hopewell Junction, Ny
- W•••• F•••• A••••••• wirehouseJun 21, 2021 to Oct 20, 2021 · St. Louis, Mo
- C••••••••• W••••• M••••••••• L•• independent RIAJul 13, 2020 to Dec 8, 2020 · Chesterfield, Mo
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 20, 2021, registered Aug 13, 2024 (1028 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• W••••• M••••••••• L•• to W•••• F•••• A•••••••left Dec 8, 2020, registered Jun 21, 2021 (195 days) · RIA 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
- 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