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.
A•••••• J•••• C•••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Nov 4, 2022 · Stamford, Ct
- R•••••• J•••• • A••••••••• I••• national BDJan 13, 2020 to Oct 25, 2022 · St. Petersburg, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 30, 2018 to Dec 31, 2019 · Saint Petersburg, Fl
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMAug 23, 2018 to Sep 10, 2018 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 22, 2016 to Aug 17, 2017 · Chandler, Az
- R•••••• J•••• • A••••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••left Oct 25, 2022, registered Nov 4, 2022 (10 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2019, registered Jan 13, 2020 (13 days) · Affiliated broker-dealer or bank to another · moved with a team
- E•••• • Y•••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 10, 2018, registered Oct 30, 2018 (50 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• • Y•••• I••••••••• A••••••• L••left Aug 17, 2017, registered Aug 23, 2018 (371 days) · Other
- A•••••• J•••• C••••• left R•••••• J•••• • A••••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2022-11-04)Oct 25, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address