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••• W•••••• C••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jul 13, 2016 · Tampa, Fl
- B••• S••••••••• L•• formerDec 23, 2019 to Feb 17, 2021 · Tampa, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 6, 2009 to Oct 5, 2015 · Saint Petersburg, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedAug 9, 2006 to Oct 10, 2009 · St Petersburg, Fl
- M••••• S•••••• D• I••• unclassifiedSep 1, 2005 to Jun 22, 2006 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDOct 25, 2004 to Apr 12, 2005 · Fort Myers, Fl
- B••• S••••••••• L•• to no registered destinationleft Feb 17, 2021 · Departure, no registered destination
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T••••• A••••••• S•••••••• I•••left Oct 5, 2015, registered Jul 13, 2016 (282 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered Mar 6, 2009 (-218 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 22, 2006, registered Aug 9, 2006 (48 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Apr 12, 2005, registered Sep 1, 2005 (142 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address