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•••••• C••••• M•••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 23, 2019 · Gainesville, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerJun 29, 2017 to Dec 13, 2019 · Ocala, Fl
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJan 24, 2014 to Jun 12, 2017 · Winter Garden, Fl
- M•• F•••••••• S•••••••• I••• formerJul 8, 2011 to Jan 7, 2014 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseDec 12, 2008 to Nov 17, 2010 · Orlando, Fl
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Dec 13, 2019, registered Dec 23, 2019 (10 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• I••••••••• R••••••• A•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Jun 12, 2017, registered Jun 29, 2017 (17 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jan 7, 2014, registered Jan 24, 2014 (17 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Nov 17, 2010, registered Jul 8, 2011 (233 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address