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••••• C•••• J••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 27, 2026 · Sebring, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 13, 2009 to Mar 30, 2026 · Sebring, Fl
- J•••••• S•••••••• W••••• A•••••••• I••• unclassifiedMar 11, 1999 to Mar 25, 2022 · Lakeland, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedDec 10, 1998 to Oct 10, 2009 · Sebring, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Mar 30, 2026, registered Mar 27, 2026 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- J•••••• S•••••••• W••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 25, 2022, registered Apr 13, 2009 (-4729 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to J•••••• S•••••••• W••••• A•••••••• I•••left Oct 10, 2009, registered Mar 11, 1999 (-3866 days) · Other
- D••••• C•••• J•••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-03-27)Mar 30, 2026 · Advisor changed firm · fact
- D••••• C•••• J•••••• left J•••••• S•••••••• W••••• A•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2009-04-13)Mar 25, 2022 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address