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•••••••••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Aug 17, 2023 · Lakewood Ranch, Fl
- F••••• W••••• M••••••••• L•• state registeredFeb 1, 2023 to Aug 8, 2023 · Seminole, Fl
- M••••••• S••••••••• L•• asset managerOct 4, 2021 to Feb 3, 2022 · Sarasota, Fl
- F••••• W••••• M••••••••• L•• to J• W• C••• A•••••••• I•••left Aug 8, 2023, registered Aug 17, 2023 (9 days) · Other
- M••••••• S••••••••• L•• to F••••• W••••• M••••••••• L••left Feb 3, 2022, registered Feb 1, 2023 (363 days) · RIA to a state-registered adviser
- S••••• W••••••••• left F••••• W••••• M••••••••• L•• for J• W• C••• A•••••••• I••• (registered 2023-08-17)Aug 8, 2023 · Advisor changed firm · fact
- S••••• W••••••••• left M••••••• S••••••••• L•• for F••••• W••••• M••••••••• L•• (registered 2023-02-01)Feb 3, 2022 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address