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•• D•••• D••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince May 22, 2015 · Lake Charles, La
- T•• S•••••••• F•••••••• A••••••• BD affiliatedJan 16, 2015 to Mar 24, 2015 · Daytona Beach, Fl
- G• A• R••••• • C•••••• BD affiliatedSep 16, 2010 to Dec 31, 2014 · Palatka, Fl
- T•• S•••••••• F•••••••• A••••••• to A••••••• F•••••••• A•••••••• L••left Mar 24, 2015, registered May 22, 2015 (59 days) · Other
- G• A• R••••• • C•••••• to T•• S•••••••• F•••••••• A•••••••left Dec 31, 2014, registered Jan 16, 2015 (16 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