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.
P••••••• E•••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 22, 2010 · Naples, Fl
- M•• F•••••••• A•••••••• I••• formerJul 21, 2006 to Mar 31, 2010 · Bonita Springs, Fl
- M••••• S•••••• D• I••• unclassifiedNov 2, 2000 to Jul 5, 2006 · Ft. Myers, Fl
- M•• F•••••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Mar 31, 2010, registered Mar 22, 2010 (-9 days) · Other
- M••••• S•••••• D• I••• to M•• F•••••••• A•••••••• I•••left Jul 5, 2006, registered Jul 21, 2006 (16 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address