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.
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S•••••• J••• G••••
- A••••• F•••••••• A•••••••• L•• independent RIA currentsince Jun 11, 2021 · Ponte Vedra Beach, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedAug 19, 2016 to Feb 22, 2021 · Ponte Vedra Beach, Fl
- S••••••• I••••••••• S•••••••• I••• formerNov 12, 2015 to Dec 31, 2016 · Ponte Vedra Beach, Fl
- C••• F•••••••• S•••••••• L••• formerNov 6, 2014 to Apr 13, 2015 · Jacksonville, Fl
- S•••••••• A••••••• L•• national BDFeb 24, 2012 to Apr 8, 2013 · Jacksonville, Fl
- M••••••• C•••••••• S••••••••• I••• unclassifiedOct 28, 2009 to Dec 31, 2010 · Altamonte Springs, Fl
- T••••• A••••••• S•••••••• I••• to A••••• F•••••••• A•••••••• L••left Feb 22, 2021, registered Jun 11, 2021 (109 days) · Affiliated broker-dealer or bank to independent RIA
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Aug 19, 2016 (-134 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to S••••••• I••••••••• S•••••••• I•••left Apr 13, 2015, registered Nov 12, 2015 (213 days) · Other
- S•••••••• A••••••• L•• to C••• F•••••••• S•••••••• L•••left Apr 8, 2013, registered Nov 6, 2014 (577 days) · Other
- M••••••• C•••••••• S••••••••• I••• to S•••••••• A••••••• L••left Dec 31, 2010, registered Feb 24, 2012 (420 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address