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.
L••• S•••••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince May 11, 2022 · Charlotte, Nc
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to May 5, 2022 · Dunedin, Fl
- I••••••••• A••••••• S••••••• I•• formerJul 5, 2017 to Jul 17, 2020 · Dunedin, Fl
- C••••• A••••••• L•• formerSep 15, 2016 to Jun 14, 2017 · Greenwood Village, Co
- I•••••••• C•••••• A••••••• formerMay 27, 2010 to Oct 3, 2016 · L•••Field, Ma
- F•••• A••••• S••••••••• I••• formerSep 18, 2007 to May 27, 2010 · Dunedin, Fl
- S••••••••• A•••••• A•••••••• I••• to I• F•••••••• A••••••• S••••••• L••left May 5, 2022, registered May 11, 2022 (6 days) · Affiliated broker-dealer or bank to another
- 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
- C••••• A••••••• L•• to I••••••••• A••••••• S••••••• I••left Jun 14, 2017, registered Jul 5, 2017 (21 days) · Other
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Sep 15, 2016 (-18 days) · channel change inside one enterprise, not a move · moved with a team
- F•••• A••••• S••••••••• I••• to I•••••••• C•••••• A•••••••left May 27, 2010, registered May 27, 2010 (0 days) · Other
- L••• S••••••• left S••••••••• A•••••• A•••••••• I••• for I• F•••••••• A••••••• S••••••• L•• (registered 2022-05-11)May 5, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address