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•••••••• L••• B•••••••••
- E••••• J•••• national BD currentsince Mar 12, 2019 · Live Oak, Fl
- C•••••••• A••••••• C••• independent RIAFeb 14, 2007 to Apr 23, 2007 · Gainesville, Fl
- S••••••• I••••••••• S•••••••• I••• formerDec 8, 2005 to Aug 15, 2006 · Gainesville, Fl
- C••• B•••••••• S•••••••• I••• formerSep 29, 2004 to Oct 24, 2005 · Gainesville, Fl
- F•••• F•••••• F•••••••• S••••••• C••• unclassifiedApr 17, 2003 to Nov 12, 2003 · Lake City, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 17, 2003 to Jul 8, 2003 · Lake City, Fl
- C•••••••• A••••••• C••• to E••••• J••••left Apr 23, 2007, registered Mar 12, 2019 (4341 days) · Other
- S••••••• I••••••••• S•••••••• I••• to C•••••••• A••••••• C•••left Aug 15, 2006, registered Feb 14, 2007 (183 days) · Other
- C••• B•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Oct 24, 2005, registered Dec 8, 2005 (45 days) · Other
- F•••• F•••••• F•••••••• S••••••• C••• to C••• B•••••••• S•••••••• I•••left Nov 12, 2003, registered Sep 29, 2004 (322 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to F•••• F•••••• F•••••••• S••••••• C•••left Jul 8, 2003, registered Apr 17, 2003 (-82 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