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.
B•••• J••• R•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 28, 2014 · Clearwater, Fl
- U•• F•••••••• S••••••• I••• wirehouseAug 23, 2013 to Jul 21, 2014 · St. Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDDec 17, 2004 to Aug 20, 2013 · St. Petersburg, Fl
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 21, 2014, registered Jul 28, 2014 (7 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Aug 20, 2013, registered Aug 23, 2013 (3 days) · Affiliated broker-dealer or bank to wirehouse
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address