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.
T•• I• C•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 31, 2017 · Fort Myers, Fl
- L•• F•••••••• L•• BD affiliatedJul 11, 2008 to Aug 8, 2017 · Ft. Myers, Fl
- M••••• K••••• • C••••••• L•• formerFeb 22, 2007 to May 27, 2008 · Birmingham, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedMay 15, 2006 to Feb 21, 2007 · Memphis, Tn
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedApr 25, 2005 to Mar 16, 2006 · Naples, Fl
- S••••••••• S••••••••• L•• unclassifiedMar 19, 2001 to Dec 2, 2004 · Bonita Springs, Fl
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 8, 2017, registered Jul 31, 2017 (-8 days) · Other
- M••••• K••••• • C••••••• L•• to L•• F•••••••• L••left May 27, 2008, registered Jul 11, 2008 (45 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 21, 2007, registered Feb 22, 2007 (1 days) · corporate re-registration, not a move
- S••••••••• S••••••••• L•• to A•••••• I••••••••• M••••••••• C•••••• L••left Dec 2, 2004, registered Apr 25, 2005 (144 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