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.
G•••••• T•••••• B•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 29, 2019 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseJun 19, 2012 to May 23, 2017 · Minneapolis, Mn
- F•••• T•••• S••••••••• I••• BD affiliatedJun 23, 2009 to Feb 28, 2012 · Orlando, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 14, 2008 to Mar 5, 2009 · Jacksonville, Fl
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 23, 2017, registered Aug 29, 2019 (828 days) · Wirehouse to wirehouse · moved with a team
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left Feb 28, 2012, registered Jun 19, 2012 (112 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 5, 2009, registered Jun 23, 2009 (110 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address