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••• A• D•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 29, 2023 · Saint Petersburg, Fl
- P•• W••••• M••••••••• BD affiliatedDec 12, 2017 to Feb 13, 2023 · Sarasota, Fl
- J••• M••••• S••••••••• L•• wirehouseAug 28, 2017 to Nov 29, 2017 · Tampa, Fl
- P•• W••••• M••••••••• BD affiliatedJul 7, 2014 to Jul 31, 2017 · Sarasota, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 3, 2012 to Jun 23, 2014 · St. Petersburg, Fl
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 13, 2023, registered Mar 29, 2023 (44 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Nov 29, 2017, registered Dec 12, 2017 (13 days) · Wirehouse to affiliated broker-dealer or bank
- P•• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jul 31, 2017, registered Aug 28, 2017 (28 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to P•• W••••• M•••••••••left Jun 23, 2014, registered Jul 7, 2014 (14 days) · Other
- J••• A• D••• left P•• W••••• M••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-03-29)Feb 13, 2023 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address