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••• P•••••• B••••
- T•• C••••••••• G•••• L•• state registered currentsince Nov 6, 2023 · Fernandina Beach, Fl
- P•••• S••••••••• L•• no RAUMSep 1, 2022 to May 10, 2023 · Jacksonville, Fl
- A••••••••• F•••••••• A••••••• I••• independent RIAOct 19, 2020 to Jan 27, 2022 · Omaha, Ne
- B•••• W••••• M••••••••• L•• unclassifiedDec 5, 2006 to Nov 9, 2020 · Omaha, Ne
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 18, 1998 to Oct 13, 2006 · Omaha, Ne
- P•••• S••••••••• L•• to T•• C••••••••• G•••• L••left May 10, 2023, registered Nov 6, 2023 (180 days) · Affiliated broker-dealer or bank to a state-registered adviser
- A••••••••• F•••••••• A••••••• I••• to P•••• S••••••••• L••left Jan 27, 2022, registered Sep 1, 2022 (217 days) · RIA to affiliated broker-dealer or bank
- B•••• W••••• M••••••••• L•• to A••••••••• F•••••••• A••••••• I•••left Nov 9, 2020, registered Oct 19, 2020 (-21 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B•••• W••••• M••••••••• L••left Oct 13, 2006, registered Dec 5, 2006 (53 days) · Other
- J••• P•••••• B•••• left P•••• S••••••••• L•• for T•• C••••••••• G•••• L•• (registered 2023-11-06)May 10, 2023 · Advisor changed firm · fact
- J••• P•••••• B•••• left A••••••••• F•••••••• A••••••• I••• for P•••• S••••••••• L•• (registered 2022-09-01)Jan 27, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address