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.
I••••••• A••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Mar 28, 2019 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 5, 2018 to Mar 7, 2019 · St. Petersburg, Fl
- V••••• F•••••••• M••••••••• I••• BD affiliatedSep 19, 2016 to Jan 16, 2018 · New York, Ny
- R•••••• J•••• • A••••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 7, 2019, registered Mar 28, 2019 (21 days) · Affiliated broker-dealer or bank to another
- V••••• F•••••••• M••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jan 16, 2018, registered Feb 5, 2018 (20 days) · Affiliated broker-dealer or bank to another
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address