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••• G••••• S••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 14, 2022 · Fort Myers, Fl
- B• R•••• W••••• A•••••••• I••• BD affiliatedJun 6, 2014 to Nov 14, 2022 · Fort Myers, Fl
- A•••• • F•••••••• P•••••••• L•• formerOct 16, 2009 to May 6, 2014 · Ft. Myers, Fl
- S••••••• S••••••• • L•••• unclassifiedMar 6, 2008 to Sep 28, 2009 · Fort Myers, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 14, 2006 to Jun 9, 2009 · Fort Myers, Fl
- A•••• • F•••••••• P•••••••• L•• formerFeb 21, 2001 to Oct 13, 2006 · Fort Myers, Fl
- B• R•••• W••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 14, 2022, registered Nov 14, 2022 (0 days) · Affiliated broker-dealer or bank to another
- A•••• • F•••••••• P•••••••• L•• to B• R•••• W••••• A•••••••• I•••left May 6, 2014, registered Jun 6, 2014 (31 days) · corporate re-registration, not a move
- S••••••• S••••••• • L•••• to A•••• • F•••••••• P•••••••• L••left Sep 28, 2009, registered Oct 16, 2009 (18 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••••• S••••••• • L••••left Jun 9, 2009, registered Mar 6, 2008 (-460 days) · Other
- A•••• • F•••••••• P•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 13, 2006, registered Aug 14, 2006 (-60 days) · Other
- M••• G••••• S•••••• left B• R•••• W••••• A•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-11-14)Nov 14, 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address