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.
A•••••••• R••••• P••••••
- S•••••• F•••••••• G••••• L•• independent RIA currentsince Jul 6, 2021 · Ponte Vedra Beach, Fl
- T•••• W••••• P••••••• A•• M••••••••• I••• independent RIAMar 22, 2017 to Sep 24, 2020 · Ponte Vedra, Fl
- R•••••• J•••• • A••••••••• I••• national BDSep 19, 2007 to Apr 3, 2017 · Jacksonville, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 28, 2005 to Sep 25, 2007 · Jacksonville, Fl
- T•••• W••••• P••••••• A•• M••••••••• I••• to S•••••• F•••••••• G••••• L••left Sep 24, 2020, registered Jul 6, 2021 (285 days) · RIA to RIA
- R•••••• J•••• • A••••••••• I••• to T•••• W••••• P••••••• A•• M••••••••• I•••left Apr 3, 2017, registered Mar 22, 2017 (-12 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 25, 2007, registered Sep 19, 2007 (-6 days) · Wirehouse 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address