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.
D••••• A•••• S••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Nov 1, 2021 · Orlando, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 22, 2014 to Nov 3, 2021 · Orlando, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 8, 2006 to Sep 10, 2014 · Orlando, Fl
- M•• I•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 3, 2021, registered Nov 1, 2021 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Sep 10, 2014, registered Sep 22, 2014 (12 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address