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•••••• C•••••• D••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 19, 2021 · Tavernier, Fl
- C••••••• • C••• I••• formerAug 6, 2014 to Jun 4, 2021 · Banner Elk, Nc
- P•• W••••• M••••••••• BD affiliatedAug 16, 2012 to Sep 17, 2012 · Asheville, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Jan 19, 2011 · Brunswick, Ga
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 17, 2004 to Jan 2, 2009 · St. Simons Island, Ga
- C••••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 4, 2021, registered May 19, 2021 (-16 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to C••••••• • C••• I•••left Sep 17, 2012, registered Aug 6, 2014 (688 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•• W••••• M•••••••••left Jan 19, 2011, registered Aug 16, 2012 (575 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address