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.
M••••• J• T••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 1, 2021 · Ponte Vedra Beach, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 6, 2020 to Jan 19, 2021 · Jacksonville, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 17, 2018 to Jan 6, 2020 · Ponte Vedra, Fl
- W•••• F•••• A••••••• wirehouseSep 10, 2012 to Jun 22, 2017 · Cornelius, Nc
- D••••••• B••• S••••••••• I••• no RAUMOct 7, 2008 to Aug 6, 2012 · New York, Ny
- C••••• I••••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left Jan 19, 2021, registered Feb 1, 2021 (13 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Jun 22, 2017, registered May 17, 2018 (329 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 6, 2012, registered Sep 10, 2012 (35 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address