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.
J•••• B•••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Mar 31, 2025 · Fort Lauderdale, Fl
- L•••••• I••••••••• independent RIAJun 24, 2021 to Mar 31, 2025 · Fort Washington, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 12, 2002 to May 17, 2021 · Portland, Me
- L•••••• I••••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left May 17, 2021, registered Jun 24, 2021 (38 days) · Affiliated broker-dealer or bank to another
- J•••• B••••• left L•••••• I••••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2025-03-31)Mar 31, 2025 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address