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.
J•••••• H••••• S••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 26, 2021 · Sarasota, Fl
- R••••• W• B•••• • C•• I••••••••• mixed wealthSep 5, 2013 to May 14, 2021 · Sarasota, Fl
- M•• F•••••••• S•••••••• I••• formerApr 17, 2012 to Aug 30, 2013 · Sarasota, Fl
- J•• C•••••• A•••••••• L•• formerJan 21, 2011 to May 6, 2011 · Sarasota, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 9, 2001 to Jul 13, 2006 · Sarasota, Fl
- R••••• W• B•••• • C•• I••••••••• to R•••••• J•••• • A••••••••• I•••left May 14, 2021, registered Apr 26, 2021 (-18 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•• F•••••••• S•••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Aug 30, 2013, registered Sep 5, 2013 (6 days) · Other
- J•• C•••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left May 6, 2011, registered Apr 17, 2012 (347 days) · Other
- C•••••••• G••••• M•••••• I••• to J•• C•••••• A•••••••• L••left Jul 13, 2006, registered Jan 21, 2011 (1653 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address