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.
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- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Sarasota, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 14, 2021 to Mar 31, 2025 · Merrimack, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 9, 2018 to Jul 28, 2021 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseMar 5, 2018 to Mar 16, 2018 · Sarasota, Fl
- S•••••••• I••••••••• M••••••••• formerFeb 2, 2017 to Mar 7, 2018 · Sarasota, Fl
- F•••• F•••••••• G••••• I••• formerAug 20, 2015 to May 17, 2016 · Greenwood Village, Co
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 28, 2021, registered Oct 14, 2021 (78 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 16, 2018, registered Apr 9, 2018 (24 days) · Wirehouse to wirehouse
- S•••••••• I••••••••• M••••••••• to W•••• F•••• A•••••••left Mar 7, 2018, registered Mar 5, 2018 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F•••• F•••••••• G••••• I••• to S•••••••• I••••••••• M•••••••••left May 17, 2016, registered Feb 2, 2017 (261 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address