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.
C••••••••• J••• E•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 19, 2019 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseApr 10, 2013 to Aug 22, 2019 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Apr 12, 2013 · Sarasota, Fl
- M••••• K••••• • C••••••• L•• formerDec 8, 2009 to Feb 13, 2013 · Sarasota, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDMay 11, 2009 to Nov 25, 2009 · Lakewood Ranch, Fl
- M••••• S•••••• • C•• L•• unclassifiedMar 5, 2008 to Apr 18, 2008 · Toms River, Nj
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 22, 2019, registered Aug 19, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Apr 12, 2013, registered Apr 10, 2013 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M••••• K••••• • C••••••• L••left Nov 25, 2009, registered Dec 8, 2009 (13 days) · Other
- M••••• S•••••• • C•• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 18, 2008, registered May 11, 2009 (388 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address