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.
H•••••• A••• C••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Hendersonville, Nc
- P•••• S••••••••• L•• no RAUMJan 29, 2019 to Nov 14, 2024 · North Bethesda, Md
- B••• I••••••••• S•••••••• I••• formerOct 4, 2016 to Oct 5, 2017 · Margate, Fl
- G•••••••• F•••••••• A•••••••• L•• unclassifiedJun 4, 2014 to Aug 30, 2016 · Bryant, Ar
- L•• F•••••••• L•• BD affiliatedJan 2, 2014 to Sep 8, 2016 · El Dorado, Ar
- E••••• J•••• national BDSep 14, 2012 to Jan 3, 2014 · St Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2011 to Jun 19, 2012 · Jacksonville, Fl
- A••••••• F•••••••• A•••••••• L•• BD affiliatedJun 20, 2008 to Aug 6, 2009 · Plantation, Fl
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to P•••• S••••••••• L••left Oct 5, 2017, registered Jan 29, 2019 (481 days) · Other
- L•• F•••••••• L•• to G•••••••• F•••••••• A•••••••• L••left Sep 8, 2016, registered Jun 4, 2014 (-827 days) · Other
- G•••••••• F•••••••• A•••••••• L•• to B••• I••••••••• S•••••••• I•••left Aug 30, 2016, registered Oct 4, 2016 (35 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Jan 3, 2014, registered Jan 2, 2014 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••left Jun 19, 2012, registered Sep 14, 2012 (87 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 6, 2009, registered Mar 8, 2011 (579 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