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••• A••••• J••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Dec 11, 2020 · Ponte Vedra Beach, Fl
- B••• S••••••••• L•• formerJun 8, 2015 to Dec 23, 2020 · Ponte Vedra Beach, Fl
- W•••• F•••• A••••••• wirehouseJun 3, 2008 to Jun 10, 2015 · Jacksonville, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 28, 2006 to May 19, 2008 · Ponte Vedra Beach, Fl
- O••••••••• • C•• I••• BD affiliatedOct 1, 2004 to Mar 30, 2005 · New York, Ny
- B••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 23, 2020, registered Dec 11, 2020 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to B••• S••••••••• L••left Jun 10, 2015, registered Jun 8, 2015 (-2 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left May 19, 2008, registered Jun 3, 2008 (15 days) · Other
- O••••••••• • C•• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 30, 2005, registered Aug 28, 2006 (516 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address