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.
S••• M•••• J••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 13, 2023 · Fort Myers, Fl
- M••••• S•••••• wirehouseAug 6, 2021 to Nov 15, 2023 · Naples, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedJun 1, 2015 to Aug 9, 2021 · Cape Coral, Fl
- S••••• A••• A•••• M••••••••• I••• formerFeb 1, 2012 to Apr 8, 2014 · Tampa, Fl
- A••••••• • S••••••••• I••••••••• formerApr 26, 2010 to Dec 12, 2011 · Tampa, Fl
- G•••••••• F••••••••• I•• unclassifiedJan 30, 2007 to Mar 30, 2010 · Tampa, Fl
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Nov 15, 2023, registered Nov 13, 2023 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- F•••• T•••• S••••••••• I••• to M••••• S••••••left Aug 9, 2021, registered Aug 6, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S••••• A••• A•••• M••••••••• I••• to F•••• T•••• S••••••••• I•••left Apr 8, 2014, registered Jun 1, 2015 (419 days) · Other
- A••••••• • S••••••••• I••••••••• to S••••• A••• A•••• M••••••••• I•••left Dec 12, 2011, registered Feb 1, 2012 (51 days) · Other
- G•••••••• F••••••••• I•• to A••••••• • S••••••••• I•••••••••left Mar 30, 2010, registered Apr 26, 2010 (27 days) · Other
- S••• M•••• J•••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-11-13)Nov 15, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address