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.
M•••••• A•••••• L••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 25, 2018 · Oakland, Fl
- C••••• A•••••• N••••••• L•• formerSep 3, 2013 to Jul 25, 2018 · Winter Garden, Fl
- V•••• C••••••• I••• independent RIAOct 12, 2011 to Jul 24, 2018 · Ocoee, Fl
- W••••• S••••• S••••••••• I••• formerMay 4, 2006 to Sep 3, 2013 · Ocoee, Fl
- L•••••• F•••••••• G••••• I••• unclassifiedMar 12, 2004 to Jun 26, 2006 · Orlando, Fl
- W••••• S••••• A••••••• I•• unclassifiedMar 19, 2002 to Nov 2, 2006 · Orlando, Fl
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jul 25, 2018, registered Jul 25, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- V•••• C••••••• I••• to C••••• A•••••• N••••••• L••left Jul 24, 2018, registered Sep 3, 2013 (-1785 days) · Other
- W••••• S••••• S••••••••• I••• to V•••• C••••••• I•••left Sep 3, 2013, registered Oct 12, 2011 (-692 days) · Other
- W••••• S••••• A••••••• I•• to L•••••• F•••••••• G••••• I•••left Nov 2, 2006, registered Mar 12, 2004 (-965 days) · Other
- L•••••• F•••••••• G••••• I••• to W••••• S••••• S••••••••• I•••left Jun 26, 2006, registered May 4, 2006 (-53 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