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.
P••••••• G••••• L•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 5, 2018 · Jacksonville, Fl
- R••••••••• S••••••••• I••• formerDec 20, 2013 to Oct 1, 2018 · Jacksonville, Fl
- C•••••• C•••••• M••••••••• I••• formerAug 6, 2009 to May 7, 2014 · Jacksonville, Fl
- I••••• F•••••••• C••••••••• formerMar 25, 2009 to Oct 21, 2011 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 15, 2006 to Jan 2, 2009 · Jacksonville, Fl
- R••••••••• S••••••••• I••• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 1, 2018, registered Sep 5, 2018 (-26 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C•••••• C•••••• M••••••••• I••• to R••••••••• S••••••••• I•••left May 7, 2014, registered Dec 20, 2013 (-138 days) · Other
- I••••• F•••••••• C••••••••• to C•••••• C•••••• M••••••••• I•••left Oct 21, 2011, registered Aug 6, 2009 (-806 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left Jan 2, 2009, registered Mar 25, 2009 (82 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address