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•••••• J•• P•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 2, 2019 · St. Petersburg, Fl
- C••••• • A••••••••• I••• independent RIAMar 6, 2017 to Sep 20, 2019 · Tampa, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 14, 2015 to Feb 17, 2017 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerAug 2, 2012 to Feb 17, 2017 · Boca Raton, Fl
- L•••••• I••••••••• independent RIAAug 2, 2010 to Jun 25, 2012 · Williamsville, Il
- G•••• A••••••• A•••••••• I••• formerJun 29, 2009 to Aug 2, 2010 · Cincinnati, Oh
- M••••• S•••••• D• I••• unclassifiedSep 13, 2004 to Jun 28, 2005 · Cincinnati, Oh
- C••••• • A••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 20, 2019, registered Oct 2, 2019 (12 days) · RIA to affiliated broker-dealer or bank
- C••••• I••••••••• A••••••• L•• to C••••• • A••••••••• I•••left Feb 17, 2017, registered Mar 6, 2017 (17 days) · Other
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left Feb 17, 2017, registered Oct 14, 2015 (-492 days) · Other
- L•••••• I••••••••• to S••••• F•••••••• G•••• I••left Jun 25, 2012, registered Aug 2, 2012 (38 days) · Other
- G•••• A••••••• A•••••••• I••• to L•••••• I•••••••••left Aug 2, 2010, registered Aug 2, 2010 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to G•••• A••••••• A•••••••• I•••left Jun 28, 2005, registered Jun 29, 2009 (1462 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