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•••••• S•••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 14, 2023 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseMar 25, 2008 to Mar 15, 2023 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerJul 28, 2004 to Mar 31, 2008 · Lake Wales, Fl
- F••••••• F•••••••• A••••••••• I••• formerApr 12, 2004 to Jul 23, 2004 · Deland, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 12, 2004 to Jul 6, 2004 · Deland, Fl
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 15, 2023, registered Mar 14, 2023 (-1 days) · Wirehouse to independent RIA
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 31, 2008, registered Mar 25, 2008 (-6 days) · Other
- F••••••• F•••••••• A••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jul 23, 2004, registered Jul 28, 2004 (5 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to F••••••• F•••••••• A••••••••• I•••left Jul 6, 2004, registered Apr 12, 2004 (-85 days) · Other
- J•••••• S•••• S•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2023-03-14)Mar 15, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address