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•••• J••••• S•••••
- M••••• S•••••• wirehouse currentsince Oct 17, 2016 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseMar 17, 2010 to Oct 19, 2016 · Minneapolis, Mn
- M••••• K••••• • C••••••• L•• formerFeb 27, 2007 to Mar 3, 2008 · Winter Park, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Jul 13, 2007 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedJan 7, 2003 to Aug 15, 2003 · Orlando, Fl
- S••••••• I••••••••• S•••••••• I••• formerFeb 20, 2002 to Oct 25, 2002 · Maitland, Fl
- W•••• F•••• A••••••• to M••••• S••••••left Oct 19, 2016, registered Oct 17, 2016 (-2 days) · Wirehouse to wirehouse · moved with a team
- M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••left Mar 3, 2008, registered Mar 17, 2010 (744 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Jul 13, 2007, registered Feb 27, 2007 (-136 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Aug 15, 2003, registered Jul 10, 2003 (-36 days) · Other
- S••••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• S•••••••• I•••left Oct 25, 2002, registered Jan 7, 2003 (74 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address