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.
B•••• A•• S•••••••
- S•••••••• E••••• P•••••••• L••• independent RIA currentsince Mar 30, 2016 · Santa Rosa Beach, Fl
- O•••• W•••••• I••• BD affiliatedNov 3, 2023 to Dec 31, 2023 · Santa Rosa Beach, Fl
- F•• S••••••••• C••••••••• formerJul 8, 1997 to Nov 3, 2023 · Olympic Valley, Ca
- O•••• W•••••• I••• to no registered destinationleft Dec 31, 2023 · Departure, no registered destination
- F•• S••••••••• C••••••••• to S•••••••• E••••• P•••••••• L•••left Nov 3, 2023, registered Mar 30, 2016 (-2774 days) · Other
- B•••• A•• S••••••• no longer registered at O•••• W•••••• I•••; no later IA registration on IAPDDec 31, 2023 · Advisor departure · fact
- B•••• A•• S••••••• left F•• S••••••••• C••••••••• for S•••••••• E••••• P•••••••• L••• (registered 2016-03-30)Nov 3, 2023 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address