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•••• G••••• P••••
- E••••• J•••• national BD currentsince Sep 9, 2014 · Cape Coral, Fl
- A•••••••• C•••••• M••••••••• independent RIAJan 23, 2014 to Sep 19, 2014 · Cape Coral, Fl
- C•••••• F•••••••• S•••••••• I••• formerFeb 19, 2013 to Jan 15, 2014 · Cape Coral, Fl
- G••••• F•••••••• P•••••• C••••••• I••• formerAug 17, 2011 to Feb 13, 2013 · Fort Meyers, Fl
- P••• A••••• S••••••••• L•• BD affiliatedJul 29, 2010 to Mar 24, 2011 · Estero, Fl
- M•• F•••••••• S•••••••• I••• formerJan 4, 2007 to Jul 12, 2010 · Naples, Fl
- M••••• S•••••• D• I••• unclassifiedOct 20, 2005 to Aug 11, 2006 · Cape Coral, Fl
- A•••••••• C•••••• M••••••••• to E••••• J••••left Sep 19, 2014, registered Sep 9, 2014 (-10 days) · Other
- C•••••• F•••••••• S•••••••• I••• to A•••••••• C•••••• M•••••••••left Jan 15, 2014, registered Jan 23, 2014 (8 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to C•••••• F•••••••• S•••••••• I•••left Feb 13, 2013, registered Feb 19, 2013 (6 days) · Other
- P••• A••••• S••••••••• L•• to G••••• F•••••••• P•••••• C••••••• I•••left Mar 24, 2011, registered Aug 17, 2011 (146 days) · Other
- M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Jul 12, 2010, registered Jul 29, 2010 (17 days) · Other
- M••••• S•••••• D• I••• to M•• F•••••••• S•••••••• I•••left Aug 11, 2006, registered Jan 4, 2007 (146 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