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.
C••••••••• B•••• D••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 16, 2016 · Orlando, Fl
- N•• E•••••• S••••••••• C••••••••• formerAug 6, 2009 to Oct 3, 2011 · Orlando, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 15, 2009 to May 27, 2009 · Winter Park, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 1, 2007 to May 27, 2009 · Winter Park, Fl
- S••••••• I••••••••• S•••••••• I••• formerJun 10, 2003 to Jan 18, 2007 · Orlando, Fl
- N•• E•••••• S••••••••• C••••••••• to T••••• A••••••• S•••••••• I•••left Oct 3, 2011, registered Sep 16, 2016 (1810 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to N•• E•••••• S••••••••• C•••••••••left May 27, 2009, registered Aug 6, 2009 (71 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 27, 2009, registered May 15, 2009 (-12 days) · Other
- S••••••• I••••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 18, 2007, registered Feb 1, 2007 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address