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•••• N• A••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 3, 2018 · Ponte Vedra Beach, Fl
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Jan 5, 2018 · Ponte Vedra Beach, Fl
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJul 17, 2003 to Oct 31, 2008 · Jacksonville Beach, Fl
- S•••••••• F••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 5, 2018, registered Jan 3, 2018 (-2 days) · Affiliated broker-dealer or bank to another
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address