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.
L••••• S••••••
- W••••• M••••••••• S••••••• I••• state registered currentsince Jan 1, 2025 · Sarasota, Fl
- S• A•••••••• L•• independent RIAAug 2, 2012 to Oct 26, 2016 · Sarasota, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 8, 2010 to Apr 24, 2012 · Sarasota, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 14, 2010 · Sarasota, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Sarasota, Fl
- M••••• S•••••• D• I••• unclassifiedJun 20, 2005 to Apr 2, 2007 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 22, 2001 to Jun 30, 2005 · Sarasota, Fl
- S• A•••••••• L•• to W••••• M••••••••• S••••••• I•••left Oct 26, 2016, registered Jan 1, 2025 (2989 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S• A•••••••• L••left Apr 24, 2012, registered Aug 2, 2012 (100 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 14, 2010, registered Sep 8, 2010 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to M••••• S•••••• D• I•••left Jun 30, 2005, registered Jun 20, 2005 (-10 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address