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•••••••• C• L••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 22, 2020 · Durham, Nc
- S••••• F•••••••• G•••• I•• formerNov 12, 2013 to Jul 23, 2020 · Durham, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 15, 2009 to Nov 6, 2013 · Fort Myers, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 31, 2005 to Oct 10, 2009 · Ft. Myers, Fl
- U•• F•••••••• S••••••• I••• wirehouseFeb 1, 2002 to Jun 17, 2005 · Ft. Myers, Fl
- S••••• F•••••••• G•••• I•• to L•• F•••••••• L••left Jul 23, 2020, registered Jul 22, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••• F•••••••• G•••• I••left Nov 6, 2013, registered Nov 12, 2013 (6 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 10, 2009, registered Apr 15, 2009 (-178 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 17, 2005, registered May 31, 2005 (-17 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address