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•••••• BD affiliated currentsince Aug 4, 2021 · Sarasota, Fl
- A•••••••• P•••••• A•••••••• L•• formerOct 9, 2020 to Aug 31, 2021 · Sarasota, Fl
- K•••••••• B••••••• F•••••••• S•••••••• I••• unclassifiedOct 20, 2005 to Oct 2, 2009 · Sarasota, Fl
- C••••••••• F•••••••• N•••••• national BDAug 15, 2005 to Oct 13, 2020 · Sarasota, Fl
- L•• F•••••••• L•• BD affiliatedApr 30, 1998 to Aug 19, 2005 · Sarasota, Fl
- A•••••••• P•••••• A•••••••• L•• to M••••••left Aug 31, 2021, registered Aug 4, 2021 (-27 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••••••• F•••••••• N•••••• to K•••••••• B••••••• F•••••••• S•••••••• I•••left Oct 13, 2020, registered Oct 20, 2005 (-5472 days) · Other
- K•••••••• B••••••• F•••••••• S•••••••• I••• to A•••••••• P•••••• A•••••••• L••left Oct 2, 2009, registered Oct 9, 2020 (4025 days) · Other
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 19, 2005, registered Aug 15, 2005 (-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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address