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.
C•••••••• B•••••••• M•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 14, 2009 · Miramar Beach, Fl
- F••••••••• formerDec 3, 2009 to Dec 18, 2013 · Destin, Fl
- N•• A•••••••• I••• unclassifiedDec 5, 2007 to Jan 16, 2009 · Destin, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 25, 2004 to Dec 6, 2007 · Destin, Fl
- F••••••••• to no registered destinationleft Dec 18, 2013 · Departure, no registered destination
- N•• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 16, 2009, registered Apr 14, 2009 (88 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to N•• A•••••••• I•••left Dec 6, 2007, registered Dec 5, 2007 (-1 days) · Other
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address