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.
P•••• J••••• G••••••
- A•• C•••••• A••••••• independent RIA currentsince Mar 29, 2018 · Tampa, Fl
- C••••••• A•••••••• L•• formerApr 13, 2007 to Apr 6, 2009 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseJun 15, 2002 to May 4, 2009 · Tampa, Fl
- C••••••• F•••••••• A•••••••• L•• unclassifiedNov 8, 2001 to Jun 20, 2002 · Tampa, Fl
- W•••• F•••• A••••••• to C••••••• A•••••••• L••left May 4, 2009, registered Apr 13, 2007 (-752 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••••• A•••••••• L•• to A•• C•••••• A•••••••left Apr 6, 2009, registered Mar 29, 2018 (3279 days) · Other
- C••••••• F•••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 20, 2002, registered Jun 15, 2002 (-5 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address