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.
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- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jan 28, 2022 · Port Charlotte, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMay 1, 2018 to Feb 11, 2022 · Saint Petersburg, Fl
- I••••• F•••••••• C••••••••• formerApr 24, 2017 to Apr 24, 2018 · Appleton, Wi
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Feb 11, 2022, registered Jan 28, 2022 (-14 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 24, 2018, registered May 1, 2018 (7 days) · Other · moved with a team
- R•••••• T••••• W••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-01-28)Feb 11, 2022 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address