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•••• C•••••• B••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 13, 2014 · St. Petersburg, Fl
- O•••• I••••••••• I••• BD affiliatedOct 8, 2010 to Jan 3, 2014 · Middlesboro, Ky
- L•• F•••••••• L•• BD affiliatedMay 15, 2007 to May 8, 2008 · Middlesboro, Ky
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 7, 2007 to Oct 12, 2010 · Middlesboro, Ky
- R•••••• J•••• • A••••••••• I••• national BDMay 24, 2005 to Feb 15, 2007 · St. Petersburg, Fl
- M••••• S•••••• D• I••• unclassifiedOct 13, 2004 to Apr 26, 2005 · Tallahassee, Fl
- O•••• I••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 3, 2014, registered Mar 13, 2014 (69 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Oct 12, 2010, registered May 15, 2007 (-1246 days) · Other
- L•• F•••••••• L•• to O•••• I••••••••• I•••left May 8, 2008, registered Oct 8, 2010 (883 days) · Other
- R•••••• J•••• • A••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Feb 15, 2007, registered Mar 7, 2007 (20 days) · Other
- M••••• S•••••• D• I••• to R•••••• J•••• • A••••••••• I•••left Apr 26, 2005, registered May 24, 2005 (28 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address