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.
D•••• J••• S••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 24, 2008 · St. Petersburg, Fl
- M••••• K••••• • C••••••• L•• formerOct 23, 2012 to Mar 14, 2013 · St. Petersburg, Fl
- W•••• F•••• A••••••• wirehouseApr 27, 2005 to Dec 11, 2008 · Clearwater, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 20, 1998 to Apr 2, 2004 · Clearwater, Fl
- M••••• K••••• • C••••••• L•• to no registered destinationleft Mar 14, 2013 · Departure, no registered destination
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Dec 11, 2008, registered Dec 24, 2008 (13 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 2, 2004, registered Apr 27, 2005 (390 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address