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.
J••••• A•••••• F••••••
- M•••• C••••••• A••••••• S•••••• BD affiliated currentsince Jan 15, 2014 · Palm Beach Gardens, Fl
- I••••••••• P••••••••• I••• formerJul 30, 2013 to Dec 17, 2013 · San Antonio, Tx
- M•••• C••••••• A••••••• S•••••• BD affiliatedSep 22, 2008 to Jul 31, 2013 · Palm Beach Gardens, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 23, 2005 to Sep 26, 2008 · Thibodaux, La
- M•• F•••••••• S•••••••• I••• formerMay 24, 2004 to Dec 3, 2004 · Thobodany, La
- I••••••••• P••••••••• I••• to M•••• C••••••• A••••••• S••••••left Dec 17, 2013, registered Jan 15, 2014 (29 days) · Other
- M•••• C••••••• A••••••• S•••••• to I••••••••• P••••••••• I•••left Jul 31, 2013, registered Jul 30, 2013 (-1 days) · Other
- V••• F•••••••• A•••••••• I••• to M•••• C••••••• A••••••• S••••••left Sep 26, 2008, registered Sep 22, 2008 (-4 days) · Other
- M•• F•••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••left Dec 3, 2004, registered Feb 23, 2005 (82 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address