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••••• D••••
- C•••••• S••••• • C••• I••• national BD currentsince Sep 10, 2020 · St. Augustine, Fl
- J• W• C••• A•••••••• I••• BD affiliatedAug 31, 2018 to Oct 6, 2020 · St. Augustine, Fl
- L•• F•••••••• L•• BD affiliatedAug 2, 2018 to Sep 5, 2018 · St Augustine, Fl
- C••••• A••••••• L•• formerDec 8, 2014 to Aug 9, 2018 · St Augustine, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedApr 10, 2014 to Dec 8, 2014 · Jacksonville, Fl
- W•••• F•••• A••••••• wirehouseApr 15, 2010 to Apr 14, 2014 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 8, 2009 to Apr 5, 2010 · Jacksonville, Fl
- N•• E•••••• S••••••••• C••••••••• formerJul 2, 2009 to Oct 12, 2009 · Jacksonville, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 10, 2007 to Mar 26, 2009 · Jacksonville, Fl
- M••••• S•••••• D• I••• unclassifiedOct 18, 2005 to Jun 1, 2006 · St Augustine, Fl
- J• W• C••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Oct 6, 2020, registered Sep 10, 2020 (-26 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to J• W• C••• A•••••••• I•••left Sep 5, 2018, registered Aug 31, 2018 (-5 days) · RIA to RIA
- C••••• A••••••• L•• to L•• F•••••••• L••left Aug 9, 2018, registered Aug 2, 2018 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• T•••• S••••••••• I••• to C••••• A••••••• L••left Dec 8, 2014, registered Dec 8, 2014 (0 days) · Other
- W•••• F•••• A••••••• to F•••• T•••• S••••••••• I•••left Apr 14, 2014, registered Apr 10, 2014 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 5, 2010, registered Apr 15, 2010 (10 days) · Wirehouse to wirehouse
- N•• E•••••• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 12, 2009, registered Dec 8, 2009 (57 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Mar 26, 2009, registered Jul 2, 2009 (98 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 1, 2006, registered Dec 10, 2007 (557 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address