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.
S•••••• W•••••• K•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 21, 2014 · Jacksonville, Fl
- C••• B•••••••• S•••••••• I••• formerMay 2, 2011 to Mar 20, 2014 · Jacksonville, Fl
- L•••• A••••• • C•• L•• asset managerSep 1, 2004 to Mar 4, 2011 · Jersey City, Nj
- W•••• F•••• A••••••• wirehouseJan 26, 2004 to Jul 7, 2004 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2003 to Sep 8, 2003 · Somerset, Nj
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 20, 2014, registered Mar 21, 2014 (1 days) · Other
- L•••• A••••• • C•• L•• to C••• B•••••••• S•••••••• I•••left Mar 4, 2011, registered May 2, 2011 (59 days) · Other
- W•••• F•••• A••••••• to L•••• A••••• • C•• L••left Jul 7, 2004, registered Sep 1, 2004 (56 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 8, 2003, registered Jan 26, 2004 (140 days) · Wirehouse to wirehouse
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address