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••••• A••• K••••
- L•• F•••••••• L•• BD affiliated currentsince May 19, 2022 · Jacksonville, Fl
- C••• B•••••••• S•••••••• I••• formerDec 17, 2020 to May 25, 2022 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerFeb 12, 2020 to Nov 24, 2020 · Neptune Beach, Fl
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 30, 2019 to Feb 10, 2020 · Jacksonville, Fl
- N••• F•••••• I••••••••• S•••••••• L•• BD affiliatedJun 27, 2019 to Sep 25, 2019 · Jacksonville, Fl
- S••••••• F•••••••• S•••••••• I••• formerSep 10, 2018 to Jun 21, 2019 · Jacksonville, Fl
- C•••••• W••••• A••••••• G•••• independent RIAOct 9, 2017 to Aug 31, 2018 · Fleming Island, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 30, 2017 to Sep 20, 2017 · Jacksonville, Fl
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 25, 2022, registered May 19, 2022 (-6 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Nov 24, 2020, registered Dec 17, 2020 (23 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••• F•••••••• S•••••••• L•••left Feb 10, 2020, registered Feb 12, 2020 (2 days) · Affiliated broker-dealer or bank to another
- N••• F•••••• I••••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 25, 2019, registered Sep 30, 2019 (5 days) · Affiliated broker-dealer or bank to another
- S••••••• F•••••••• S•••••••• I••• to N••• F•••••• I••••••••• S•••••••• L••left Jun 21, 2019, registered Jun 27, 2019 (6 days) · Affiliated broker-dealer or bank to another
- C•••••• W••••• A••••••• G•••• to S••••••• F•••••••• S•••••••• I•••left Aug 31, 2018, registered Sep 10, 2018 (10 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• W••••• A••••••• G••••left Sep 20, 2017, registered Oct 9, 2017 (19 days) · Other
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address