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••••• A••••• L••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2020 · Daytona Beach, Fl
- R•••••• J•••• • A••••••••• I••• national BDOct 18, 2007 to Oct 16, 2020 · Deland, Fl
- W•••• F•••• A••••••• wirehouseMar 28, 2003 to Oct 16, 2007 · Daytona Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 29, 1997 to Jan 24, 2003 · Deland, Fl
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 16, 2020, registered Oct 5, 2020 (-11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Oct 16, 2007, registered Oct 18, 2007 (2 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jan 24, 2003, registered Mar 28, 2003 (63 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address