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••• A•••• B•••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Aug 11, 2021 · Naples, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Aug 6, 2021 · Bonita Springs, Fl
- I••••••••• A••••••• S••••••• I•• formerJan 31, 2020 to Jul 17, 2020 · Bonita Springs, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 1, 2006 to Jun 18, 2019 · Fort Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2003 to Sep 8, 2006 · Fort Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 18, 2001 to Jul 30, 2002 · Everett, Wa
- S••••••••• A•••••• A•••••••• I••• to J• W• C••• A•••••••• I•••left Aug 6, 2021, registered Aug 11, 2021 (5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to I••••••••• A••••••• S••••••• I••left Jun 18, 2019, registered Jan 31, 2020 (227 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 8, 2006, registered Sep 1, 2006 (-7 days) · Wirehouse to wirehouse
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address