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••• C• M••••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jul 15, 2020 · Daytona Beach, Fl
- I• F•••••••• A••••••• S••••••• L•• independent RIAJan 13, 2020 to Apr 23, 2020 · Daytona Beach, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMar 12, 2012 to May 22, 2017 · Daytona Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2005 to Mar 14, 2012 · Daytona Beach, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 7, 2003 to Jun 17, 2005 · Daytona Beach, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 8, 2003 · Daytona Beach, Fl
- P••••••••• E••••• G••••• L•• unclassifiedJan 3, 1997 to Jul 1, 2003 · Daytona Beach, Fl
- A••••••••• F•••••••• S•••••••• L•• to I• F•••••••• A••••••• S••••••• L••left May 22, 2017, registered Jan 13, 2020 (966 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 14, 2012, registered Mar 12, 2012 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 17, 2005, registered Jun 20, 2005 (3 days) · Other
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 8, 2003, registered Aug 7, 2003 (-1 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address