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••••• J••••• P••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 15, 2024 · Ormond Beach, Fl
- T• A••••••••• I••• formerJul 22, 2021 to Oct 14, 2022 · New York City, Ny
- C•••••• S••••• • C••• I••• national BDSep 3, 2015 to Mar 26, 2024 · Orlando, Fl
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Mar 26, 2024, registered Jul 22, 2021 (-978 days) · Other
- T• A••••••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 14, 2022, registered Oct 15, 2024 (732 days) · Other
- S••••• J••••• P•••••• left C•••••• S••••• • C••• I••• for T• A••••••••• I••• (registered 2021-07-22)Mar 26, 2024 · Advisor changed firm · fact
- S••••• J••••• P•••••• left T• A••••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2024-10-15)Oct 14, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address