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.
C•••••• W•••••• G•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 11, 2020 · Saint Augustine, Fl
- B••• S••••••••• L•• formerSep 2, 2014 to Dec 23, 2020 · Ponte Vedra Beach, Fl
- W•••• F•••• A••••••• wirehouseJun 23, 2003 to Sep 8, 2014 · Saint Augustine, Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Jan 6, 2003 · Jacksonville, Fl
- B••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 23, 2020, registered Dec 11, 2020 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to B••• S••••••••• L••left Sep 8, 2014, registered Sep 2, 2014 (-6 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address