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.
M•••••• J••••• T••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2017 · Palm Coast, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedNov 27, 2012 to Nov 22, 2017 · Palm Coast, Fl
- I•••••••• C•••••• A••••••• formerJan 4, 2005 to Nov 13, 2012 · Palm Coast, Fl
- E•••••• P•••• A••••••• I••• unclassifiedMay 19, 2003 to Dec 31, 2004 · Palm Coast, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 22, 2017, registered Nov 1, 2017 (-21 days) · Other
- I•••••••• C•••••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 13, 2012, registered Nov 27, 2012 (14 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Jan 4, 2005 (4 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address