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.
D•••• M•••••• B••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 9, 2020 · Orlando, Fl
- O•••• W•••••• I••• BD affiliatedMay 24, 2013 to Jan 9, 2020 · Scottsdale, Az
- I•••••••• C•••••• A••••••• formerJun 2, 2011 to Dec 31, 2011 · Winter Garden, Fl
- I••••• A••••••• S•••••••• L•• independent RIAJan 5, 2011 to May 24, 2013 · Winter Haven, Fl
- O•••• W•••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 9, 2020, registered Jan 9, 2020 (0 days) · Affiliated broker-dealer or bank to another
- I••••• A••••••• S•••••••• L•• to I•••••••• C•••••• A•••••••left May 24, 2013, registered Jun 2, 2011 (-722 days) · Other
- I•••••••• C•••••• A••••••• to O•••• W•••••• I•••left Dec 31, 2011, registered May 24, 2013 (510 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address