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.
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- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 17, 2016 · Fort Myers, Fl
- S••••• F•••••••• G•••• I•• formerApr 20, 2011 to Oct 14, 2016 · Ft Myers, Fl
- C••••••••• F•••••••• N•••••• national BDJul 10, 2006 to Mar 28, 2011 · Fort Myers, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 4, 1998 to Aug 1, 2006 · Fort Myers, Fl
- S••••• F•••••••• G•••• I•• to A••••••••• F•••••••• S•••••••• L••left Oct 14, 2016, registered Oct 17, 2016 (3 days) · Other · moved with a team
- C••••••••• F•••••••• N•••••• to S••••• F•••••••• G•••• I••left Mar 28, 2011, registered Apr 20, 2011 (23 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••••• F•••••••• N••••••left Aug 1, 2006, registered Jul 10, 2006 (-22 days) · Wirehouse to affiliated broker-dealer or bank
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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address