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.
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R••••• P• C••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 4, 2023 · Santa Rosa Beach, Fl
- L•• F•••••••• L•• BD affiliatedFeb 1, 2018 to Oct 6, 2023 · Santa Rosa Beach, Fl
- I••••••••• P••••••••• I••• formerJan 19, 2017 to Feb 2, 2018 · Santa Rosa Beach, Fl
- L•• F•••••••• L•• BD affiliatedAug 31, 2009 to Feb 6, 2017 · Santa Rosa Beach, Fl
- C••••• I••••••••• S••••••• L•• formerFeb 13, 2009 to Sep 2, 2009 · Miramar Beach, Fl
- L•• F•••••••• L•• BD affiliatedDec 8, 2006 to Mar 11, 2009 · Destin, Fl
- M•• F•••••••• S•••••••• I••• formerMar 4, 2005 to Nov 29, 2006 · Shalimar, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 14, 2003 to Nov 8, 2004 · Destin, Fl
- M••••• K••••• • C••••••• L•• formerApr 12, 2001 to Nov 18, 2003 · Destin, Fl
- L•• F•••••••• L•• to O•••• W•••••• I•••left Oct 6, 2023, registered Oct 4, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to L•• F•••••••• L••left Feb 2, 2018, registered Feb 1, 2018 (-1 days) · Other
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Feb 6, 2017, registered Jan 19, 2017 (-18 days) · Other
- C••••• I••••••••• S••••••• L•• to L•• F•••••••• L••left Sep 2, 2009, registered Aug 31, 2009 (-2 days) · Other
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Mar 11, 2009, registered Feb 13, 2009 (-26 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Nov 29, 2006, registered Dec 8, 2006 (9 days) · Other
- U•• F•••••••• S••••••• I••• to M•• F•••••••• S•••••••• I•••left Nov 8, 2004, registered Mar 4, 2005 (116 days) · Other
- M••••• K••••• • C••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 18, 2003, registered Nov 14, 2003 (-4 days) · Other
- R••••• P• C•••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2023-10-04)Oct 6, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address