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.
D••••• A• O•••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Aug 3, 2020 · Charlotte, Nc
- O•••• F•• I••• formerApr 3, 2019 to Jul 20, 2020 · Raleigh, Nc
- L••••• F••••••••• I••• BD affiliatedNov 13, 2013 to Apr 2, 2019 · Maitland, Fl
- M••••• S•••••• wirehouseSep 2, 2011 to Oct 23, 2013 · Fort Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 1996 to Aug 16, 2011 · Hartford, Ct
- O•••• F•• I••• to I• F•••••••• A••••••• S••••••• L••left Jul 20, 2020, registered Aug 3, 2020 (14 days) · Affiliated broker-dealer or bank to independent RIA
- L••••• F••••••••• I••• to O•••• F•• I•••left Apr 2, 2019, registered Apr 3, 2019 (1 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to L••••• F••••••••• I•••left Oct 23, 2013, registered Nov 13, 2013 (21 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 16, 2011, registered Sep 2, 2011 (17 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address