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• G••••••••
- S•••••••• A••••••• L•• national BD currentsince Jun 24, 2025 · Clearwater, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 17, 2023 to Oct 15, 2024 · Clearwater, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2021 to Jun 6, 2023 · Jacksonville, Fl
- E•••••• C•••••• M••••••••• L•• formerDec 9, 2020 to May 26, 2021 · Temple Terrace, Fl
- R•••••• J•••• • A••••••••• I••• national BDMay 3, 2019 to Mar 2, 2020 · St. Petersburg, Fl
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedFeb 26, 2015 to Apr 22, 2019 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Oct 15, 2024, registered Jun 24, 2025 (252 days) · channel change inside one enterprise, not a move · moved with a team
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 26, 2021, registered Jul 13, 2021 (48 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to E•••••• C•••••• M••••••••• L••left Mar 2, 2020, registered Dec 9, 2020 (282 days) · Affiliated broker-dealer or bank to independent RIA
- T• R••• P•••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Apr 22, 2019, registered May 3, 2019 (11 days) · RIA to affiliated broker-dealer or bank
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address