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•••••• W•••• M••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 19, 2022 · Cape Coral, Fl
- C••• B•••••••• S•••••••• I••• formerDec 17, 2018 to May 24, 2022 · Port Charlotte, Fl
- L••••••••• W••••• A••••••• independent RIADec 11, 2015 to Dec 31, 2016 · Lake Wales, Fl
- S•••• M•••• C•••••••• L•• unclassifiedAug 7, 2007 to Mar 3, 2016 · Sebring, Fl
- U•••••••• S••••••••• I••• unclassifiedSep 2, 2004 to Jul 19, 2006 · Clearwater, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 19, 2003 to Sep 7, 2004 · Sebring, Fl
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 24, 2022, registered May 19, 2022 (-5 days) · corporate re-registration, not a move
- L••••••••• W••••• A••••••• to C••• B•••••••• S•••••••• I•••left Dec 31, 2016, registered Dec 17, 2018 (716 days) · Other
- S•••• M•••• C•••••••• L•• to L••••••••• W••••• A•••••••left Mar 3, 2016, registered Dec 11, 2015 (-83 days) · Other
- U•••••••• S••••••••• I••• to S•••• M•••• C•••••••• L••left Jul 19, 2006, registered Aug 7, 2007 (384 days) · Other
- V••• F•••••••• A•••••••• I••• to U•••••••• S••••••••• I•••left Sep 7, 2004, registered Sep 2, 2004 (-5 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address