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••••••• P•••••• W•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 26, 2018 · Saint Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDJun 23, 2017 to Feb 5, 2018 · St. Petersburg, Fl
- M••••• S•••••• wirehouseFeb 23, 2010 to Mar 28, 2017 · Melville, Ny
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2018, registered Feb 26, 2018 (21 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Mar 28, 2017, registered Jun 23, 2017 (87 days) · Wirehouse to affiliated broker-dealer or bank
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address