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.
B•••• T•••• S••••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 9, 2023 · Jacksonville, Fl
- O•••• F•• I••• formerAug 8, 2019 to Mar 2, 2023 · Jacksonville, Fl
- P•• A••••••• S•••••••• L•• independent RIAAug 1, 2013 to Aug 7, 2019 · Jacksonville, Fl
- L••••••••• W••••• M••••••••• L•• independent RIAMay 20, 2013 to Aug 9, 2019 · Jacksonville Beach, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 13, 2011 to Jan 25, 2013 · Jacksonville Beach, Fl
- O•••• F•• I••• formerJun 16, 2009 to Mar 25, 2011 · Jacksonville, Fl
- O•••• F•• I••• to C••••••••• F•••••••• N••••••left Mar 2, 2023, registered Mar 9, 2023 (7 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••••••••• W••••• M••••••••• L•• to P•• A••••••• S•••••••• L••left Aug 9, 2019, registered Aug 1, 2013 (-2199 days) · Other
- P•• A••••••• S•••••••• L•• to O•••• F•• I•••left Aug 7, 2019, registered Aug 8, 2019 (1 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L••••••••• W••••• M••••••••• L••left Jan 25, 2013, registered May 20, 2013 (115 days) · Other
- O•••• F•• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 25, 2011, registered Apr 13, 2011 (19 days) · Other
- B•••• T•••• S•••••••• left O•••• F•• I••• for C••••••••• F•••••••• N•••••• (registered 2023-03-09)Mar 2, 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address