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.
D•••• M•••••• M•••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Orlando, Fl
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Kissimmee, Fl
- B••• I••••••••• S•••••••• I••• formerFeb 9, 2010 to Jan 2, 2018 · Clermont, Fl
- E•••••••• A•••••••• L•• national BDOct 22, 2008 to Jan 21, 2010 · Orlando, Fl
- C•••••• L•• independent RIAOct 18, 2002 to Jan 22, 2003 · Orlando, Fl
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••left Jan 21, 2010, registered Feb 9, 2010 (19 days) · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••• L•• to E•••••••• A•••••••• L••left Jan 22, 2003, registered Oct 22, 2008 (2100 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