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•••••••• T•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 20, 2019 · Edina, Mn
- F•••••••• A••••••• S•••••••• L•• formerJun 29, 2018 to Jun 25, 2019 · Edina, Mn
- S••••••• F•••••••• S•••••••• I••• formerJan 12, 2015 to May 25, 2018 · Longmeadow, Ma
- E•••• S••••••••• L•• BD affiliatedJul 24, 2013 to Dec 16, 2014 · Jacksonville, Fl
- P•••• S••••••••• L•• no RAUMJul 13, 2001 to Feb 3, 2012 · Jacksonville, Fl
- F•••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 25, 2019, registered Jun 20, 2019 (-5 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to F•••••••• A••••••• S•••••••• L••left May 25, 2018, registered Jun 29, 2018 (35 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Dec 16, 2014, registered Jan 12, 2015 (27 days) · Other
- P•••• S••••••••• L•• to E•••• S••••••••• L••left Feb 3, 2012, registered Jul 24, 2013 (537 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address