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.
L••••• L••• D••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jun 19, 2015 · Naples, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jun 23, 2015 · Naples, Fl
- M••••• K••••• • C••••••• L•• formerApr 10, 2006 to Feb 13, 2013 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Apr 28, 2006 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 26, 2000 to Feb 21, 2006 · Naples, Fl
- R•••••• J•••• • A••••••••• I••• to J••••• M••••••••• S•••• L••left Jun 23, 2015, registered Jun 19, 2015 (-4 days) · Other
- 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
- C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••left Apr 28, 2006, registered Apr 10, 2006 (-18 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address