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••••• R•• H••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 7, 2021 · Jonesborough, Tn
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 19, 2021 · Naples, Fl
- B••• S••••••••• L•• formerMay 16, 2018 to Feb 17, 2021 · Naples, Fl
- P•• W••••• M••••••••• BD affiliatedAug 9, 2017 to May 18, 2018 · Sarasota, Fl
- B••• I••••••••• S•••••••• I••• formerSep 19, 2014 to Jul 10, 2017 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerDec 10, 2013 to Jul 22, 2014 · Knoxville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 26, 2011 to Nov 22, 2013 · Johnson City, Tn
- T••••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 19, 2021, registered Oct 7, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to B••• S••••••••• L••left May 18, 2018, registered May 16, 2018 (-2 days) · Affiliated broker-dealer or bank to another
- B••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jul 10, 2017, registered Aug 9, 2017 (30 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Nov 22, 2013, registered Dec 10, 2013 (18 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address