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.
S••••• A• S••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Jacksonville, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 16, 2019 to Mar 31, 2025 · Jacksonville, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 26, 2017 to Mar 15, 2019 · Jacksonville, Fl
- W•••• F•••• A••••••• wirehouseApr 4, 2016 to Sep 6, 2017 · Jacksonville, Fl
- S••••••• I••••••••• S•••••••• I••• formerJan 16, 2007 to Apr 5, 2016 · Middleburg, Fl
- U••• B•••••• A•••••••• L•• BD affiliatedJan 31, 2003 to Jan 5, 2007 · Los Angeles, Ca
- 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
- A••••••• F•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 15, 2019, registered May 16, 2019 (62 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••• F•••••••• A•••••••• L••left Sep 6, 2017, registered Sep 26, 2017 (20 days) · Other
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Apr 5, 2016, registered Apr 4, 2016 (-1 days) · Other · moved with a team
- U••• B•••••• A•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Jan 5, 2007, registered Jan 16, 2007 (11 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address