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••••• S••••• H••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 18, 2024 · Satellite Beach, Fl
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 29, 2022 · St. Petersburg, Fl
- B• R•••• W••••• A•••••••• I••• BD affiliatedOct 1, 2020 to Mar 2, 2022 · Satellite Beach, Fl
- C••••••• S••••••••• I••• BD affiliatedJun 13, 2014 to Oct 1, 2020 · Deep River, Ct
- M•• F•••••••• S•••••••• I••• formerMar 12, 2010 to Apr 2, 2013 · Shelton, Ct
- L•• F•••••••• L•• BD affiliatedDec 5, 2008 to Feb 26, 2010 · West Hartford, Ct
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 13, 2007 to Sep 8, 2008 · Stamford, Ct
- J••••• M••••••••• S•••• L•• BD affiliatedApr 9, 2001 to Aug 14, 2003 · Darien, Ct
- B• R•••• W••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 2, 2022, registered Apr 29, 2022 (58 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to B• R•••• W••••• A•••••••• I•••left Oct 1, 2020, registered Oct 1, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Apr 2, 2013, registered Jun 13, 2014 (437 days) · Other
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Feb 26, 2010, registered Mar 12, 2010 (14 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 8, 2008, registered Dec 5, 2008 (88 days) · Other
- J••••• M••••••••• S•••• L•• to C••••• I••••••••• A••••••• L••left Aug 14, 2003, registered Mar 13, 2007 (1307 days) · Other
- R••••• S••••• H•••••• left B• R•••• W••••• A•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-29)Mar 2, 2022 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address