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.
S••• N••••• W•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 11, 2019 · Gray, Tn
- C••••• A••••••• G••••• L•• independent RIAFeb 7, 2019 to Sep 5, 2019 · Clearwater, Fl
- R•••••• J•••• • A••••••••• I••• national BDJan 4, 2016 to Dec 20, 2018 · St. Petersburg, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 14, 2014 to Nov 2, 2015 · Jacksonville, Fl
- C••••• A••••••• G••••• L•• to R•••••• J•••• • A••••••••• I•••left Sep 5, 2019, registered Sep 11, 2019 (6 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to C••••• A••••••• G••••• L••left Dec 20, 2018, registered Feb 7, 2019 (49 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Nov 2, 2015, registered Jan 4, 2016 (63 days) · Wirehouse 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