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.
G•••••• C•••••• S•••••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 9, 2016 · Venice, Fl
- R•••••• J•••• • A••••••••• I••• national BDMay 21, 2014 to Jan 20, 2015 · Venice, Fl
- S••••••• I••••••••• S•••••••• I••• formerDec 26, 2013 to May 14, 2014 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerJan 13, 2011 to Nov 5, 2013 · Port Charlotte, Fl
- E••••• J•••• national BDJan 22, 2010 to Jul 23, 2010 · St Louis, Mo
- R•••••• J•••• • A••••••••• I••• to T••••• A••••••• S•••••••• I•••left Jan 20, 2015, registered Sep 9, 2016 (598 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S••••••• I••••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left May 14, 2014, registered May 21, 2014 (7 days) · Other
- E••••• J•••• to S••••••• I••••••••• S•••••••• I•••left Jul 23, 2010, registered Jan 13, 2011 (174 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address