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.
H•••• S•••••• S••••
- S•••••• S•••• A•••• M••••••••• I••• state registered currentsince Feb 26, 2021 · Fort Lauderdale, Fl
- G••••••••• W••••• M••••••••• independent RIADec 5, 2018 to Mar 10, 2021 · Chicago, Il
- S•••••• S•••• A•••• M••••••••• I••• unclassifiedApr 27, 2006 to Jan 24, 2019 · Big Pine Key, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 4, 1999 to Nov 11, 2005 · Key West, Fl
- G••••••••• W••••• M••••••••• to S•••••• S•••• A•••• M••••••••• I•••left Mar 10, 2021, registered Feb 26, 2021 (-12 days) · RIA to a state-registered adviser
- S•••••• S•••• A•••• M••••••••• I••• to G••••••••• W••••• M•••••••••left Jan 24, 2019, registered Dec 5, 2018 (-50 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• S•••• A•••• M••••••••• I•••left Nov 11, 2005, registered Apr 27, 2006 (167 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address