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••••• D•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 20, 2023 · Tampa, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jun 22, 2023 · Tampa, Fl
- M•• F•••••••• S•••••••• I••• formerNov 17, 2014 to Mar 25, 2017 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 27, 2010 to Jul 1, 2013 · Huntersville, Nc
- P••••• I••••••••• M••••••••• L•• asset managerOct 28, 2008 to Dec 7, 2009 · Boston, Ma
- M•• I•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 22, 2023, registered Jun 20, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 1, 2013, registered Nov 17, 2014 (504 days) · Other
- P••••• I••••••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 7, 2009, registered Jul 27, 2010 (232 days) · Other
- C•••••• J••••• D••••• left M•• I•••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-06-20)Jun 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address