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.
B•••• N••••• R•••••••
- E•••••••• A•••••••• L•• national BD currentsince Mar 21, 2017 · Orlando, Fl
- C••••••••• W••••• independent RIAAug 15, 2016 to Jan 27, 2017 · Lake Mary, Fl
- S••••••• F•••••••• S•••••••• I••• formerOct 30, 2009 to Dec 11, 2015 · Maitland, Fl
- M•• F•••••••• S•••••••• I••• formerJul 6, 2005 to Sep 21, 2009 · Orlando, Fl
- E•••••••• A•••••••• L•• national BDMar 16, 1995 to Jun 23, 2005 · Orlando, Fl
- C••••••••• W••••• to E•••••••• A•••••••• L••left Jan 27, 2017, registered Mar 21, 2017 (53 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C••••••••• W•••••left Dec 11, 2015, registered Aug 15, 2016 (248 days) · Other
- M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Sep 21, 2009, registered Oct 30, 2009 (39 days) · Other
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jun 23, 2005, registered Jul 6, 2005 (13 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address