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.
E••••• M••••• R••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 2, 2023 · Sarasota, Fl
- S••••• F•••••••• G•••• I•• formerApr 3, 2013 to May 20, 2021 · Sarasota, Fl
- W•••••• • R••• formerDec 12, 2011 to Mar 26, 2013 · Charleroi, Pa
- R•••••••• A•••• M••••••••• unclassifiedOct 1, 2009 to Dec 6, 2011 · Sarasota, Fl
- R•••••••• A•••• M••••••••• unclassifiedOct 29, 2004 to Dec 31, 2008 · Sarasota , Fl
- G••••• F•••••••• A•••• M••••••••• L•• unclassifiedDec 19, 2003 to Sep 22, 2004 · Sarasota, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 29, 2003 to Mar 19, 2004 · Sarasota, Fl
- M••••• K••••• • C••••••• L•• formerMar 26, 1999 to Sep 24, 2003 · Sarasota, Fl
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Jun 2, 2023 (743 days) · corporate re-registration, not a move
- W•••••• • R••• to S••••• F•••••••• G•••• I••left Mar 26, 2013, registered Apr 3, 2013 (8 days) · Other
- R•••••••• A•••• M••••••••• to W•••••• • R•••left Dec 6, 2011, registered Dec 12, 2011 (6 days) · Other
- G••••• F•••••••• A•••• M••••••••• L•• to R•••••••• A•••• M•••••••••left Sep 22, 2004, registered Oct 29, 2004 (37 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to G••••• F•••••••• A•••• M••••••••• L••left Mar 19, 2004, registered Dec 19, 2003 (-91 days) · Other
- M••••• K••••• • C••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Sep 24, 2003, registered Sep 29, 2003 (5 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address