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.
R••••• N••••• S•••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Nov 2, 2015 · Ft. Myers, Fl
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerMay 10, 2010 to Oct 30, 2015 · Fort Meyers, Fl
- G•••••••• F••••••••• I•• unclassifiedJun 10, 2009 to Mar 30, 2010 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 2, 2006 to Mar 19, 2009 · Fort Myers, Fl
- U•• F•••••••• S••••••• I••• wirehouseJan 6, 2003 to Jul 27, 2005 · Ft. Myers, Fl
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C•••••••• F••••••••• I•••left Oct 30, 2015, registered Nov 2, 2015 (3 days) · Other · moved with a team
- G•••••••• F••••••••• I•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Mar 30, 2010, registered May 10, 2010 (41 days) · Other
- R•••••• J•••• • A••••••••• I••• to G•••••••• F••••••••• I••left Mar 19, 2009, registered Jun 10, 2009 (83 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Jul 27, 2005, registered Feb 2, 2006 (190 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address