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.
W•••••• B•••• F••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 3, 2024 · Lake Wales, Fl
- I• A••••••• S•••••••• I••• formerJan 23, 2019 to Dec 31, 2023 · Lake Wales, Fl
- O•••• I••••••••• I••• BD affiliatedJul 26, 2011 to Dec 3, 2018 · Lake Wales, Fl
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 25, 2006 to Jul 18, 2011 · Lake Wales, Fl
- M•••• C••••••• A••••••• S•••••• BD affiliatedJan 7, 2005 to Mar 11, 2005 · Lake Wales, Fl
- M•••• C••••••• A••••••• S•••••• BD affiliatedOct 8, 2002 to Dec 31, 2004 · Lake Wales, Fl
- C••••••••• F•••••••• N•••••• national BDAug 2, 1999 to Oct 14, 2002 · Winter Haven, Fl
- I• A••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 31, 2023, registered Jan 3, 2024 (3 days) · Affiliated broker-dealer or bank to another
- O•••• I••••••••• I••• to I• A••••••• S•••••••• I•••left Dec 3, 2018, registered Jan 23, 2019 (51 days) · Affiliated broker-dealer or bank to another · moved with a team
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Jul 18, 2011, registered Jul 26, 2011 (8 days) · Other
- M•••• C••••••• A••••••• S•••••• to U•••• F•••••••• S••••••• G••••• I•••left Mar 11, 2005, registered Sep 25, 2006 (563 days) · Other
- C••••••••• F•••••••• N•••••• to M•••• C••••••• A••••••• S••••••left Oct 14, 2002, registered Oct 8, 2002 (-6 days) · Other
- W•••••• B•••• F•••• left I• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2024-01-03)Dec 31, 2023 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address