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•••• M•••••• N•••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Oct 22, 2018 · Trinity, Fl
- S••••• F•••••••• G•••• I•• formerApr 5, 2005 to Oct 31, 2018 · Trinity, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 8, 1998 to Feb 17, 2005 · New Port Richey, Fl
- S••••• F•••••••• G•••• I•• to I••••••••• F•••••••• G••••• L••left Oct 31, 2018, registered Oct 22, 2018 (-9 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S•••••••• I••• to S••••• F•••••••• G•••• I••left Feb 17, 2005, registered Apr 5, 2005 (47 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address