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.
T•••••• A•••• W•••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 18, 2020 · Naples, Fl
- B••• S••••••••• L•• formerJan 2, 2018 to Jun 18, 2020 · Estero, Fl
- B••• I••••••••• S•••••••• I••• formerNov 9, 2009 to Jan 2, 2018 · Naples, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 13, 2006 to Mar 3, 2008 · Naples, Fl
- S••••••• I••••••••• S•••••••• I••• formerMay 26, 2004 to Nov 6, 2006 · Naples, Fl
- Q•••• • R•••••• I••• unclassifiedApr 2, 2004 to May 20, 2004 · Naples, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedFeb 4, 2004 to Mar 1, 2004 · Naples, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 9, 1996 to Jan 24, 2003 · St Petersburg, Fl
- B••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 18, 2020, registered Jun 18, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• I••••••••• S•••••••• I•••left Mar 3, 2008, registered Nov 9, 2009 (616 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- S••••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 6, 2006, registered Nov 13, 2006 (7 days) · Other
- Q•••• • R•••••• I••• to S••••••• I••••••••• S•••••••• I•••left May 20, 2004, registered May 26, 2004 (6 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to Q•••• • R•••••• I•••left Mar 1, 2004, registered Apr 2, 2004 (32 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jan 24, 2003, registered Feb 4, 2004 (376 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address