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••• J••••• S••••••
- P•• W••••• M••••••••• BD affiliated currentsince Feb 26, 2024 · Raleigh, Nc
- L•• F•••••••• L•• BD affiliatedMay 19, 2022 to Mar 6, 2024 · Kissimmee, Fl
- C••• B•••••••• S•••••••• I••• formerNov 17, 2015 to May 24, 2022 · Fern Park, Fl
- C••••••• S••••••••• I••• BD affiliatedOct 22, 2014 to Jul 13, 2015 · Manchester, Nh
- P•• W••••• M••••••••• BD affiliatedMay 22, 2012 to Sep 4, 2014 · Orlando, Fl
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jan 5, 2011 · Palm Bay, Fl
- N•••••• I••••••••• I••• unclassifiedSep 22, 2008 to Nov 13, 2009 · Palm Bay, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 17, 2006 to May 25, 2007 · Melbourne, Fl
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Mar 6, 2024, registered Feb 26, 2024 (-9 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to C••• B•••••••• S•••••••• I•••left Jul 13, 2015, registered Nov 17, 2015 (127 days) · Other
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left Sep 4, 2014, registered Oct 22, 2014 (48 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to N•••••• I••••••••• I•••left May 25, 2007, registered Sep 22, 2008 (486 days) · Other
- J••• J••••• S•••••• left L•• F•••••••• L•• for P•• W••••• M••••••••• (registered 2024-02-26)Mar 6, 2024 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address