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.
R••••• M•••••• A••••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince May 21, 2014 · Orlando, Fl
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedMay 28, 2014 to Dec 31, 2015 · Orlando, Fl
- L•• F•••••••• L•• BD affiliatedApr 15, 2013 to May 6, 2013 · Metairie, La
- A••••••••• F•••••••• S•••••••• L•• national BDNov 16, 2005 to Apr 25, 2013 · Metairie, La
- I••••••••• A••••• I••••••••• M••••••••• L•• to no registered destinationleft Dec 31, 2015 · Departure, no registered destination
- L•• F•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left May 6, 2013, registered May 21, 2014 (380 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 25, 2013, registered Apr 15, 2013 (-10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address