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•••••• V•••••• G•••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 13, 2018 · Winter Springs, Fl
- D••• H••• A•••••••• I••• independent RIAAug 17, 2015 to Mar 21, 2017 · Kingwood, Tx
- S••••••• I••••••••• S•••••••• I••• formerAug 27, 2013 to Jun 1, 2015 · Clermont, Fl
- W•••• F•••• A••••••• wirehouseJul 8, 2004 to Jul 15, 2013 · Ocoee, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMay 22, 2003 to Apr 5, 2004 · Orlando, Fl
- D••• H••• A•••••••• I••• to T••••• A••••••• S•••••••• I•••left Mar 21, 2017, registered Dec 13, 2018 (632 days) · RIA to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to D••• H••• A•••••••• I•••left Jun 1, 2015, registered Aug 17, 2015 (77 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Jul 15, 2013, registered Aug 27, 2013 (43 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Apr 5, 2004, registered Jul 8, 2004 (94 days) · Affiliated broker-dealer or bank to wirehouse
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address