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.
M••••• V••••••
- M••••• S•••••• wirehouse currentsince Mar 11, 2020 · Ponte Vedra Beach, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 5, 2016 to Feb 25, 2020 · Ponte Vedra Beach, Fl
- B••• S••••••••• L•• formerJan 2, 2013 to Jul 2, 2014 · Ponte Vedra Beach, Fl
- S•••• • S••••••••• L•• formerDec 12, 2012 to Jan 2, 2013 · Ponte Vedra Beach, Fl
- W•••• F•••• A••••••• wirehouseMay 23, 2011 to Dec 13, 2012 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 6, 2010 · Jacksonville, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 21, 2005 to Oct 23, 2009 · Jacksonville, Fl
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Feb 25, 2020, registered Mar 11, 2020 (15 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jul 2, 2014, registered Jul 5, 2016 (734 days) · Other
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••• • S••••••••• L••left Dec 13, 2012, registered Dec 12, 2012 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 6, 2010, registered May 23, 2011 (168 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address