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.
C•••••• D••• J••••••
- G•• S••••••••• I••• BD affiliated currentsince Jul 14, 2010 · Palm Beach Gardens, Fl
- G•••• A••••••• A•••••••• I••• formerApr 18, 2005 to Jul 1, 2010 · Cincinnati, Oh
- P•• A•••• M••••••••• I•• unclassifiedJan 5, 2005 to Mar 31, 2005 · Piney Flats, Tn
- I••••••••• F•••••••• A••••••• independent RIAMay 25, 2004 to Sep 29, 2020 · Piney Flats, Tn
- P•• S••••••••• C••••••••• unclassifiedJul 31, 2003 to Dec 31, 2004 · Piney Flats, Tn
- P•• A•••• M••••••••• I•• unclassifiedDec 17, 2002 to Jul 31, 2003 · Piney Flats, Tn
- I••••••••• F•••••••• A••••••• to P•• A•••• M••••••••• I••left Sep 29, 2020, registered Jan 5, 2005 (-5746 days) · Other
- G•••• A••••••• A•••••••• I••• to G•• S••••••••• I•••left Jul 1, 2010, registered Jul 14, 2010 (13 days) · Other
- P•• A•••• M••••••••• I•• to G•••• A••••••• A•••••••• I•••left Mar 31, 2005, registered Apr 18, 2005 (18 days) · Other
- P•• S••••••••• C••••••••• to I••••••••• F•••••••• A•••••••left Dec 31, 2004, registered May 25, 2004 (-220 days) · Other
- P•• A•••• M••••••••• I•• to P•• S••••••••• C•••••••••left Jul 31, 2003, registered Jul 31, 2003 (0 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address