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.
B••••••• J•• S••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 4, 2012 · Palm Beach Gardens, Fl
- O••••••••• • C•• I••• BD affiliatedMay 5, 2008 to Sep 4, 2012 · North Palm Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 10, 2002 to May 1, 2008 · Ormond Beach, Fl
- P••••••••• E••••• G••••• L•• unclassifiedNov 13, 1998 to Jul 24, 2002 · Daytona Beach, Fl
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 4, 2012, registered Sep 4, 2012 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left May 1, 2008, registered May 5, 2008 (4 days) · Other
- P••••••••• E••••• G••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 24, 2002, registered Jul 10, 2002 (-14 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address