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••• S•••
- N••••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jul 17, 2023 · Columbus, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDMay 6, 2021 to Oct 8, 2021 · The Villages, Fl
- T•••• L•• independent RIADec 11, 2020 to Feb 11, 2021 · San Juan, Pr
- B••••••••• W••••• A•••••••• L•• no RAUMOct 17, 2019 to Mar 1, 2021 · Orlando, Fl
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• I••••••••• A•••••••• L••left Oct 8, 2021, registered Jul 17, 2023 (647 days) · Affiliated broker-dealer or bank to another
- B••••••••• W••••• A•••••••• L•• to T•••• L••left Mar 1, 2021, registered Dec 11, 2020 (-80 days) · RIA to RIA
- T•••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 11, 2021, registered May 6, 2021 (84 days) · RIA to affiliated broker-dealer or bank
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address