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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 12, 2010 · Winter Park, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 4, 2011 · Winter Park, Fl
- M••••• S•••••• • C•• L•• unclassifiedMay 29, 2007 to Jun 1, 2009 · Winter Park, Fl
- S••••••• I••••••••• S•••••••• I••• formerOct 31, 2001 to Jun 22, 2007 · Winter Park, Fl
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 4, 2011, registered Nov 12, 2010 (-53 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• S•••••••• I••• to M••••• S•••••• • C•• L••left Jun 22, 2007, registered May 29, 2007 (-24 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address