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•••••• S•••••• S•••••••
- G••••• A••••••• S•••••••• L•• independent RIA currentsince Jan 27, 2016 · Fort Myers, Fl
- S•••••• W••••• P•••••••• L•• BD affiliatedOct 31, 2012 to Jan 5, 2016 · Cape Coral, Fl
- C•••••• S••••• • C••• I••• national BDMay 9, 2000 to Jul 31, 2012 · Naples, Fl
- S•••••• W••••• P•••••••• L•• to G••••• A••••••• S•••••••• L••left Jan 5, 2016, registered Jan 27, 2016 (22 days) · Other
- C•••••• S••••• • C••• I••• to S•••••• W••••• P•••••••• L••left Jul 31, 2012, registered Oct 31, 2012 (92 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address