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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 3, 2020 · Saint Petersburg, Fl
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 20, 2020 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 18, 2018 to Jul 10, 2020 · Lakewood Ranch, Fl
- G••••• F•••••••• P•••••• C••••••• I••• formerJan 25, 2016 to Jun 5, 2018 · Sarasota, Fl
- J••• M••••• S••••••••• L•• wirehouseJun 4, 2014 to Jan 5, 2016 · Bradenton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 6, 2009 to Dec 26, 2013 · Lakewood Ranch, Fl
- M••••• S•••••• • C•• L•• unclassifiedJul 31, 2007 to May 21, 2009 · Bradenton, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Jul 10, 2020, registered Jul 20, 2020 (10 days) · Affiliated broker-dealer or bank to another
- G••••• F•••••••• P•••••• C••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 5, 2018, registered Sep 18, 2018 (105 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Jan 5, 2016, registered Jan 25, 2016 (20 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J••• M••••• S••••••••• L••left Dec 26, 2013, registered Jun 4, 2014 (160 days) · Other
- M••••• S•••••• • C•• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 21, 2009, registered Jul 6, 2009 (46 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address