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.
P•••• F••••••• C•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 18, 2019 · St. Petersburg, Fl
- B••••••• G••••• A•••••••• I••• unclassifiedMay 10, 2016 to Jun 4, 2018 · Miami, Fl
- K••••• A•••••••• I••• BD affiliatedOct 24, 2011 to Jun 23, 2014 · Ft. Lauderdale, Fl
- C•••• I••••••••• S••••••• C•••• formerJul 16, 2009 to Sep 30, 2011 · Columbus, Oh
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 13, 2009 · Columbus, Oh
- M••••• S•••••• • C•• L•• unclassifiedOct 24, 2008 to Jun 1, 2009 · Columbus, Oh
- S••••• F•••••••• S•••••••• I••• formerJan 28, 2008 to Sep 24, 2008 · Kansas City, Mo
- B••••••• G••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 4, 2018, registered Mar 18, 2019 (287 days) · Other
- K••••• A•••••••• I••• to B••••••• G••••• A•••••••• I•••left Jun 23, 2014, registered May 10, 2016 (687 days) · Other
- C•••• I••••••••• S••••••• C•••• to K••••• A•••••••• I•••left Sep 30, 2011, registered Oct 24, 2011 (24 days) · Other
- M••••• S•••••• to C•••• I••••••••• S••••••• C••••left Jul 13, 2009, registered Jul 16, 2009 (3 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Sep 24, 2008, registered Oct 24, 2008 (30 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address