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.
M•••••• S••••• S••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 2, 2019 · Indian Harbour Beach, Fl
- W••••••• F•••••••• S•••••••• I••• formerDec 11, 2006 to Apr 4, 2019 · Satellite Beach, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 8, 1994 to Jan 5, 2007 · Melbourne, Fl
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 4, 2019, registered Apr 2, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jan 5, 2007, registered Dec 11, 2006 (-25 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address