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.
N•••••• S• A••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 31, 2019 · Raleigh, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2006 to Jan 4, 2019 · Naples, Fl
- M••••• S•••••• D• I••• unclassifiedJun 3, 2002 to Aug 7, 2006 · Naples, Fl
- W•••• F•••• A••••••• wirehouseMar 8, 2002 to May 24, 2002 · Naples, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Jan 4, 2019, registered Jan 31, 2019 (27 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 7, 2006, registered Aug 23, 2006 (16 days) · Other
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left May 24, 2002, registered Jun 3, 2002 (10 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address