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.
R•••••• W••••• F•••••
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliated currentsince Dec 6, 2019 · Orlando, Fl
- C••••• A••••••• L•• formerFeb 1, 2019 to Dec 12, 2019 · Maitland, Fl
- W•••• F•••• A••••••• wirehouseJan 4, 2016 to Feb 27, 2019 · Orlando, Fl
- L•• F•••••••• L•• BD affiliatedJun 29, 2012 to Jan 14, 2016 · Orlando, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDNov 12, 2008 to Jul 6, 2012 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 11, 2006 to Nov 11, 2008 · Orlando, Fl
- M••••• S•••••• D• I••• unclassifiedJul 12, 2004 to Sep 22, 2006 · Orlando, Fl
- A• G• E•••••• • S•••• I••• unclassifiedNov 14, 2003 to Jul 13, 2004 · Lake Mary, Fl
- W•••• F•••• A••••••• wirehouseDec 20, 2000 to Aug 12, 2002 · New York, Ny
- C••••• A••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Dec 12, 2019, registered Dec 6, 2019 (-6 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••• A••••••• L••left Feb 27, 2019, registered Feb 1, 2019 (-26 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jan 14, 2016, registered Jan 4, 2016 (-10 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 6, 2012, registered Jun 29, 2012 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 11, 2008, registered Nov 12, 2008 (1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 22, 2006, registered Sep 11, 2006 (-11 days) · Other
- A• G• E•••••• • S•••• I••• to M••••• S•••••• D• I•••left Jul 13, 2004, registered Jul 12, 2004 (-1 days) · Other
- W•••• F•••• A••••••• to A• G• E•••••• • S•••• I•••left Aug 12, 2002, registered Nov 14, 2003 (459 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