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.
J•••• R••••• C•••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Sep 23, 2024 · Vero Beach, Fl
- C••• L•• BD affiliatedJan 31, 2017 to Jul 30, 2024 · Omaha, Ne
- P•• W••••• M••••••••• BD affiliatedApr 12, 2016 to Jan 20, 2017 · Port St. Lucie, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 26, 2015 to Mar 16, 2016 · Boynton Beach, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedOct 22, 2013 to Feb 24, 2015 · Melbourne, Fl
- L•• F•••••••• L•• BD affiliatedJul 14, 2010 to Sep 16, 2013 · Deerfield Beach, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedFeb 18, 2009 to Jul 27, 2010 · Vero Beach, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 13, 2008 to Sep 23, 2008 · The Villages, Fl
- C••• L•• to S•••••• W••••• P•••••••• L••left Jul 30, 2024, registered Sep 23, 2024 (55 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••• L••left Jan 20, 2017, registered Jan 31, 2017 (11 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•• W••••• M•••••••••left Mar 16, 2016, registered Apr 12, 2016 (27 days) · Other
- I••••••••• F•••••••• P••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 24, 2015, registered Feb 26, 2015 (2 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Sep 16, 2013, registered Oct 22, 2013 (36 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 27, 2010, registered Jul 14, 2010 (-13 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U•••• F•••••••• S••••••• G••••• I•••left Sep 23, 2008, registered Feb 18, 2009 (148 days) · Other
- J•••• R••••• C••••••• left C••• L•• for S•••••• W••••• P•••••••• L•• (registered 2024-09-23)Jul 30, 2024 · 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
- 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