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••••• F•••••••• R•••••
- N•••••• W••••• state registered currentsince Sep 30, 2024 · Pittsburgh, Pa
- P•••••• W••••• A•••••••• L•• state registeredDec 21, 2022 to Jan 31, 2025 · Bonita Springs, Fl
- A•• W•••••• L•• formerApr 19, 2022 to May 15, 2023 · Cape Coral, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2019 to Apr 12, 2022 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDJul 25, 2018 to Dec 10, 2018 · St. Petersburg, Fl
- P•••••• W••••• A•••••••• L•• to N•••••• W•••••left Jan 31, 2025, registered Sep 30, 2024 (-123 days) · Other
- A•• W•••••• L•• to P•••••• W••••• A•••••••• L••left May 15, 2023, registered Dec 21, 2022 (-145 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•• W•••••• L••left Apr 12, 2022, registered Apr 19, 2022 (7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•••••• J•••• • A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 10, 2018, registered Jan 3, 2019 (24 days) · Affiliated broker-dealer or bank to wirehouse
- J••••• F•••••••• R••••• left P•••••• W••••• A•••••••• L•• for N•••••• W••••• (registered 2024-09-30)Jan 31, 2025 · Advisor changed firm · fact
- J••••• F•••••••• R••••• left A•• W•••••• L•• for P•••••• W••••• A•••••••• L•• (registered 2022-12-21)May 15, 2023 · Advisor changed firm · fact
- J••••• F•••••••• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A•• W•••••• L•• (registered 2022-04-19)Apr 12, 2022 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address