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•••• M••••• N•••••
- R••••• I••••••••• A•••••••• I•• BD affiliated currentsince Sep 12, 2022 · Wilmington, De
- K•••• M••••••••• formerNov 1, 2018 to Sep 23, 2022 · Ponte Vedra Beach, Fl
- L••••••••• W••••• A••••••• independent RIAMar 13, 2015 to Oct 4, 2018 · Lake Wales, Fl
- S•• BD affiliatedJun 21, 2011 to Mar 5, 2015 · Lake Wales, Fl
- S••••••• I••••••••• I••• formerJan 4, 2008 to Oct 17, 2008 · Jacksonville, Fl
- S••••••• A•••••• I••• unclassifiedOct 25, 2004 to Dec 31, 2006 · Lake Wales, Fl
- K•••• M••••••••• to R••••• I••••••••• A•••••••• I••left Sep 23, 2022, registered Sep 12, 2022 (-11 days) · Affiliated broker-dealer or bank to another
- L••••••••• W••••• A••••••• to K•••• M•••••••••left Oct 4, 2018, registered Nov 1, 2018 (28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•• to L••••••••• W••••• A•••••••left Mar 5, 2015, registered Mar 13, 2015 (8 days) · Other · moved with a team
- S••••••• I••••••••• I••• to S••left Oct 17, 2008, registered Jun 21, 2011 (977 days) · Other
- S••••••• A•••••• I••• to S••••••• I••••••••• I•••left Dec 31, 2006, registered Jan 4, 2008 (369 days) · Other
- J•••• M••••• N••••• left K•••• M••••••••• for R••••• I••••••••• A•••••••• I•• (registered 2022-09-12)Sep 23, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address