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.
R••••• C•••••• D•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 25, 2018 · St. Petersburg, Fl
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 30, 2017 to Dec 14, 2017 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 29, 2016 to Feb 21, 2017 · Jacksonville, Fl
- D••••••• B••• S••••••••• I••• no RAUMApr 10, 2013 to Feb 27, 2015 · Jacksonville, Fl
- S••••••••• A•••• I••••••••• L•• formerMar 7, 2011 to Apr 4, 2012 · New York, Ny
- W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I••• unclassifiedOct 28, 2008 to Dec 31, 2009 · Walnut Creek, Ca
- K••••• A••••••• S•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 14, 2017, registered Jan 25, 2018 (42 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• A••••••• S•••••••• L••left Feb 21, 2017, registered Mar 30, 2017 (37 days) · Other
- D••••••• B••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 27, 2015, registered Nov 29, 2016 (641 days) · Other
- S••••••••• A•••• I••••••••• L•• to D••••••• B••• S••••••••• I•••left Apr 4, 2012, registered Apr 10, 2013 (371 days) · Other
- W•••• F•••• I•••••••• S••••••• I••••••••• A•••••••• I••• to S••••••••• A•••• I••••••••• L••left Dec 31, 2009, registered Mar 7, 2011 (431 days) · Other
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address