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••• C•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Covington, Ky
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 6, 2022 to Mar 31, 2025 · Jacksonville, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 14, 2019 to Dec 21, 2020 · Orlando, Fl
- P••• A••••• S••••••••• L•• BD affiliatedMay 18, 2018 to May 9, 2019 · Maitland, Fl
- S••••••• I••••••••• I••• formerMar 1, 2016 to Aug 18, 2016 · Nashville, Tn
- U••• F•••••••• P••••••• S••••••• formerJul 13, 2009 to Oct 30, 2014 · San Antonio, Tx
- B••• I••••••••• S•••••••• I••• formerNov 26, 2007 to Dec 14, 2007 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerOct 9, 2006 to Oct 31, 2007 · Bluffton, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 21, 2020, registered Jun 6, 2022 (532 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left May 9, 2019, registered Jun 14, 2019 (36 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• I••• to P••• A••••• S••••••••• L••left Aug 18, 2016, registered May 18, 2018 (638 days) · Other
- U••• F•••••••• P••••••• S••••••• to S••••••• I••••••••• I•••left Oct 30, 2014, registered Mar 1, 2016 (488 days) · Other
- B••• I••••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Dec 14, 2007, registered Jul 13, 2009 (577 days) · Other
- S••••••• I••••••••• S•••••••• I••• to B••• I••••••••• S•••••••• I•••left Oct 31, 2007, registered Nov 26, 2007 (26 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address