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••••••••• J••• B••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 17, 2023 · Coral Gables, Fl
- M••••• S•••••• wirehouseDec 7, 2010 to Oct 18, 2023 · Coral Gables, Fl
- I•••••••• I••••••••• I••• formerMar 2, 2007 to Nov 12, 2010 · Aviano (Pn)
- W••••• A•••• M••••••• independent RIAFeb 21, 2003 to Mar 5, 2007 · Spokane, Wa
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Oct 18, 2023, registered Oct 17, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- I•••••••• I••••••••• I••• to M••••• S••••••left Nov 12, 2010, registered Dec 7, 2010 (25 days) · Other
- W••••• A•••• M••••••• to I•••••••• I••••••••• I•••left Mar 5, 2007, registered Mar 2, 2007 (-3 days) · Other
- C••••••••• J••• B•••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-10-17)Oct 18, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address