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.
R••• M•••••• N•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Oct 1, 2020 · Tampa, Fl
- C•••••••• F•••••••• G•••• A••••••• formerDec 12, 2011 to Oct 19, 2020 · Jacksonville, Fl
- N••••• L•••••••• A•• A•••• M••••••••• L•• unclassifiedSep 16, 2010 to Dec 31, 2012 · Jacksonville, Fl
- F• • S• A•••• M••••••••• G••••• I••• unclassifiedJan 14, 2008 to Nov 22, 2010 · Jacksonville, Fl
- C••••••••• A•••••••• I•• formerJan 24, 2006 to Dec 31, 2007 · Jacksonville, Fl
- C•••••••• F•••••••• G•••• A••••••• to J• W• C••• A•••••••• I•••left Oct 19, 2020, registered Oct 1, 2020 (-18 days) · Affiliated broker-dealer or bank to independent RIA
- N••••• L•••••••• A•• A•••• M••••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Dec 31, 2012, registered Dec 12, 2011 (-385 days) · Other
- F• • S• A•••• M••••••••• G••••• I••• to N••••• L•••••••• A•• A•••• M••••••••• L••left Nov 22, 2010, registered Sep 16, 2010 (-67 days) · Other
- C••••••••• A•••••••• I•• to F• • S• A•••• M••••••••• G••••• I•••left Dec 31, 2007, registered Jan 14, 2008 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address