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.
D••••• J••••• D•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince May 12, 2023 · St Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 6, 2017 to Dec 31, 2022 · St. Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BDMar 14, 2016 to Dec 31, 2016 · St. Petersburg, Fl
- J•• C•••••• A•••••••• L•• formerNov 9, 2011 to Aug 24, 2015 · Bradenton, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 22, 2008 to Nov 1, 2011 · Tampa, Fl
- R••••• W• B•••• • C•• I••••••••• mixed wealthMay 14, 2008 to Jul 10, 2008 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2022, registered May 12, 2023 (132 days) · Affiliated broker-dealer or bank to another · moved with a team
- J•• C•••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Aug 24, 2015, registered Mar 14, 2016 (203 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to J•• C•••••• A•••••••• L••left Nov 1, 2011, registered Nov 9, 2011 (8 days) · Other
- R••••• W• B•••• • C•• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 10, 2008, registered Aug 22, 2008 (43 days) · Other
- D••••• J••••• D••• left R•••••• J•••• • A••••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-05-12)Dec 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address