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••••• L•• N•••••
- N•••• F••••• W••••• independent RIA currentsince Jun 29, 2021 · Clearwater, Fl
- M••••• G••••• A••••••• I••• independent RIAMar 26, 2018 to Jul 15, 2019 · Clearwater, Fl
- G•• P•••••• W••••• formerSep 17, 2012 to Jul 13, 2018 · Clearwater, Fl
- R•• C•••••• M••••••• L•• national BDFeb 21, 2006 to Oct 1, 2012 · West Palm Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 4, 1997 to Feb 24, 2006 · St Petersburg, Fl
- M••••• G••••• A••••••• I••• to N•••• F••••• W•••••left Jul 15, 2019, registered Jun 29, 2021 (715 days) · RIA to a newly registered adviser
- G•• P•••••• W••••• to M••••• G••••• A••••••• I•••left Jul 13, 2018, registered Mar 26, 2018 (-109 days) · Other · moved with a team
- R•• C•••••• M••••••• L•• to G•• P•••••• W•••••left Oct 1, 2012, registered Sep 17, 2012 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Feb 24, 2006, registered Feb 21, 2006 (-3 days) · Wirehouse to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address