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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Orlando, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 10, 2021 to Mar 31, 2025 · Windermere, Fl
- P•• W••••• M••••••••• BD affiliatedMay 29, 2019 to May 28, 2021 · Lake Mary, Fl
- P•• W••••• M••••••••• BD affiliatedJun 4, 2018 to Nov 1, 2018 · Winter Garden, Fl
- W•••• F•••• A••••••• wirehouseDec 2, 2015 to Dec 15, 2017 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 13, 2008 to Dec 1, 2015 · Orlando, Fl
- B••••••••• C••••••• L•• unclassifiedMay 31, 2006 to Feb 4, 2008 · Windermere, Fl
- C••• R••••••••• P••• A••••••• S••••••• institutionalSep 22, 2004 to Jun 7, 2006 · Cleveland, Oh
- C•••••• S••••• • C••• I••• national BDApr 1, 2003 to Jun 7, 2004 · Orlando, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left May 28, 2021, registered Sep 10, 2021 (105 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Dec 15, 2017, registered Jun 4, 2018 (171 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 1, 2015, registered Dec 2, 2015 (1 days) · Wirehouse to wirehouse · moved with a team
- B••••••••• C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 4, 2008, registered Feb 13, 2008 (9 days) · Other
- C••• R••••••••• P••• A••••••• S••••••• to B••••••••• C••••••• L••left Jun 7, 2006, registered May 31, 2006 (-7 days) · Other
- C•••••• S••••• • C••• I••• to C••• R••••••••• P••• A••••••• S•••••••left Jun 7, 2004, registered Sep 22, 2004 (107 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address