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.
M•••••• J•••••• W•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 11, 2020 · Ponte Vedra Beach, Fl
- D•••••• F•••••••• independent RIASep 12, 2018 to Mar 10, 2020 · Saint Augustine Beach, Fl
- R•••••• J•••• • A••••••••• I••• national BDJun 11, 2013 to Sep 7, 2018 · J••••••Ville, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 1, 2011 to Jun 3, 2013 · J••••••Ville, Fl
- S••••••• I••••••••• S•••••••• I••• formerNov 18, 2005 to Dec 9, 2011 · J••••••Ville, Fl
- A• G• E•••••• • S•••• I••• unclassifiedApr 16, 2002 to Feb 26, 2004 · Clermont, Fl
- D•••••• F•••••••• to R•••••• J•••• • A••••••••• I•••left Mar 10, 2020, registered Mar 11, 2020 (1 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to D•••••• F••••••••left Sep 7, 2018, registered Sep 12, 2018 (5 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jun 3, 2013, registered Jun 11, 2013 (8 days) · Wirehouse to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 9, 2011, registered Dec 1, 2011 (-8 days) · Other
- A• G• E•••••• • S•••• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 26, 2004, registered Nov 18, 2005 (631 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address