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•••• G••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Ponte Vedra, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 2, 2024 to Mar 31, 2025 · Jacksonville, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 17, 2022 to Sep 12, 2024 · Jacksonville, Fl
- J••• M••••• S••••••••• L•• wirehouseJan 30, 2020 to Jan 3, 2022 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 12, 2024, registered Oct 2, 2024 (20 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jan 3, 2022, registered Feb 17, 2022 (45 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••• G•••• left C•••••••• G••••• M•••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-10-02)Sep 12, 2024 · Advisor changed firm · fact
- S•••• G•••• left J••• M••••• S••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-02-17)Jan 3, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address