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.
M••• R•• C••••
- P••••••• A••••••• I••• state registered currentsince Aug 23, 2022 · Sarasota, Fl
- L••••• F•••••••• A•••••••• I••• independent RIAJan 24, 2020 to Mar 8, 2022 · Lakewood Ranch, Fl
- W••••• P••••••• A•• D••••• L•• formerDec 17, 2015 to Dec 12, 2019 · Sarasota, Fl
- N••••• A•••••• S•••••••• I••• formerMar 5, 2015 to Mar 28, 2016 · Sarasota, Fl
- N•••••• I••• independent RIAApr 13, 2012 to Aug 4, 2015 · Bradenton, Fl
- G••••• S••••••••• I••• formerMar 4, 2010 to Jun 21, 2010 · Sarasota, Fl
- Q•• F•••••••• L•• unclassifiedOct 8, 2003 to Mar 11, 2010 · Sarasota, Fl
- L••••• F•••••••• A•••••••• I••• to P••••••• A••••••• I•••left Mar 8, 2022, registered Aug 23, 2022 (168 days) · RIA to a state-registered adviser
- W••••• P••••••• A•• D••••• L•• to L••••• F•••••••• A•••••••• I•••left Dec 12, 2019, registered Jan 24, 2020 (43 days) · RIA to RIA
- N••••• A•••••• S•••••••• I••• to W••••• P••••••• A•• D••••• L••left Mar 28, 2016, registered Dec 17, 2015 (-102 days) · Other · moved with a team
- N•••••• I••• to N••••• A•••••• S•••••••• I•••left Aug 4, 2015, registered Mar 5, 2015 (-152 days) · Other
- G••••• S••••••••• I••• to N•••••• I•••left Jun 21, 2010, registered Apr 13, 2012 (662 days) · Other
- Q•• F•••••••• L•• to G••••• S••••••••• I•••left Mar 11, 2010, registered Mar 4, 2010 (-7 days) · Other
- M••• R•• C•••• left L••••• F•••••••• A•••••••• I••• for P••••••• A••••••• I••• (registered 2022-08-23)Mar 8, 2022 · a•••••• firm change · 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address