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.
G•••••• L•••• M••••
- C•••••• W••••• A••••••• S•••••••• L•• state registered currentsince Jun 16, 2020 · Lake Mary, Fl
- T•••••• W••••• A•••••••• I••• formerJan 30, 2018 to Jul 13, 2020 · Lake Mary, Fl
- I•••••••• A•••••••• L•• BD affiliatedNov 6, 2017 to Jan 24, 2018 · Lake Mary, Fl
- T•••••• W••••• A•••••••• I••• to C•••••• W••••• A••••••• S•••••••• L••left Jul 13, 2020, registered Jun 16, 2020 (-27 days) · RIA to a state-registered adviser
- I•••••••• A•••••••• L•• to T•••••• W••••• A•••••••• I•••left Jan 24, 2018, registered Jan 30, 2018 (6 days) · RIA to RIA
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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address