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.
E••• R•••• W•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 19, 2022 · Ocala, Fl
- L•• F•••••••• L•• BD affiliatedFeb 5, 2019 to Aug 17, 2022 · Ocala, Fl
- W•••• F•••• A••••••• wirehouseMar 3, 2017 to Feb 5, 2019 · Orlando, Fl
- B••• I••••••••• S•••••••• I••• formerAug 4, 2015 to Mar 2, 2017 · Charlotte, Nc
- I••••• F•••••••• C••••••••• formerMay 10, 2011 to Aug 10, 2015 · Ocala, Fl
- L•• F•••••••• L•• BD affiliatedFeb 25, 2010 to May 13, 2011 · Ocala, Fl
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 2, 2009 to Mar 2, 2010 · Ocala, Fl
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 17, 2022, registered Aug 19, 2022 (2 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to L•• F•••••••• L••left Feb 5, 2019, registered Feb 5, 2019 (0 days) · Wirehouse to independent RIA
- B••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Mar 2, 2017, registered Mar 3, 2017 (1 days) · Other
- I••••• F•••••••• C••••••••• to B••• I••••••••• S•••••••• I•••left Aug 10, 2015, registered Aug 4, 2015 (-6 days) · Other
- L•• F•••••••• L•• to I••••• F•••••••• C•••••••••left May 13, 2011, registered May 10, 2011 (-3 days) · Other
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Mar 2, 2010, registered Feb 25, 2010 (-5 days) · Other
- E••• R•••• W••••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2022-08-19)Aug 17, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address