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••••••• C• P•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 20, 2021 · Fort Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 16, 2016 to May 24, 2021 · North Fort Myers, Fl
- W•••••• • R••• formerJan 20, 2016 to Feb 22, 2016 · San Diego, Ca
- F•••• A••••• S••••••••• I••• formerAug 20, 2003 to Dec 2, 2005 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 12, 1998 to Jun 3, 2003 · Ft. Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left May 24, 2021, registered May 20, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 22, 2016, registered Mar 16, 2016 (23 days) · Other
- F•••• A••••• S••••••••• I••• to W•••••• • R•••left Dec 2, 2005, registered Jan 20, 2016 (3701 days) · Other
- C•••••••• G••••• M•••••• I••• to F•••• A••••• S••••••••• I•••left Jun 3, 2003, registered Aug 20, 2003 (78 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address