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•••• T••••• S••••••••
- E••••• J•••• national BD currentsince Jul 1, 2019 · Clearwater, Fl
- L•••• F••• A••••••• S••••••• BD affiliatedMay 20, 2015 to Mar 4, 2019 · Oldsmar, Fl
- B••• I••••••••• S•••••••• I••• formerJun 9, 2014 to Feb 5, 2015 · Charlotte, Nc
- M••••• S•••••• wirehouseApr 26, 2013 to Feb 4, 2014 · Tampa, Fl
- L•••• F••• A••••••• S••••••• to E••••• J••••left Mar 4, 2019, registered Jul 1, 2019 (119 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to L•••• F••• A••••••• S•••••••left Feb 5, 2015, registered May 20, 2015 (104 days) · Other
- M••••• S•••••• to B••• I••••••••• S•••••••• I•••left Feb 4, 2014, registered Jun 9, 2014 (125 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address