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.
S••• A••••• A••••••••
- E••••• J•••• national BD currentsince Dec 13, 2023 · Bowling Green, Ky
- J••• M••••• S••••••••• L•• wirehouseJan 25, 2023 to Dec 12, 2023 · Bowling Green, Ky
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 3, 2021 to Jan 26, 2023 · Carmel, In
- J••• M••••• S••••••••• L•• to E••••• J••••left Dec 12, 2023, registered Dec 13, 2023 (1 days) · Wirehouse to affiliated broker-dealer or bank
- T••••••• I••••••••• M••••••••• I••• to J••• M••••• S••••••••• L••left Jan 26, 2023, registered Jan 25, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- S••• A••••• A•••••••• left J••• M••••• S••••••••• L•• for E••••• J•••• (registered 2023-12-13)Dec 12, 2023 · Advisor changed firm · fact
- S••• A••••• A•••••••• left T••••••• I••••••••• M••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-01-25)Jan 26, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address