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.
W•••••• L•••••• B•••••
- L••••• F••••••••• I••• BD affiliated currentsince Jul 6, 2012 · Summit, Nj
- R•• C•••••• M••••••• L•• national BDJul 7, 2006 to Jul 16, 2012 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to Jul 13, 2006 · Jacksonville, Fl
- A•••••• I••• unclassifiedJan 21, 2005 to Mar 8, 2006 · Ponte Vedra Beach, Fl
- R•• C•••••• M••••••• L•• to L••••• F••••••••• I•••left Jul 16, 2012, registered Jul 6, 2012 (-10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jul 13, 2006, registered Jul 7, 2006 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address