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.
R•••••• M•••••••• M•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 7, 2021 · Lakewood Ranch, Fl
- W•••• F•••• A••••••• wirehouseNov 21, 2016 to Jan 15, 2021 · Venice, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedNov 26, 2012 to Nov 30, 2016 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDOct 2, 2008 to Nov 16, 2012 · Sarasota, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 12, 2004 to Sep 29, 2008 · Venice, Fl
- L••• M•••• W••• W•••••• I••••••••• unclassifiedMar 26, 1997 to Aug 16, 2004 · Sarasota, Fl
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 15, 2021, registered Jan 7, 2021 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Nov 30, 2016, registered Nov 21, 2016 (-9 days) · Other
- R•••••• J•••• • A••••••••• I••• to J••••• M••••••••• S•••• L••left Nov 16, 2012, registered Nov 26, 2012 (10 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 29, 2008, registered Oct 2, 2008 (3 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 16, 2004, registered Aug 12, 2004 (-4 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address