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.
C••••••••• J••••• D•••••••••
- B•• P•••••••• I••• BD affiliated currentsince Oct 7, 2021 · Sarasota, Fl
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Sep 10, 2020 · Sarasota, Fl
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedNov 8, 2017 to Oct 1, 2018 · Sarasota, Fl
- B••• I••••••••• S•••••••• I••• formerFeb 10, 2015 to Nov 1, 2017 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseJan 4, 2011 to Feb 5, 2015 · Sarasota, Fl
- B••• I••••••••• S•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Nov 1, 2017, registered Nov 8, 2017 (7 days) · Other
- W•••• F•••• A••••••• to B••• I••••••••• S•••••••• I•••left Feb 5, 2015, registered Feb 10, 2015 (5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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