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.
R••••• W•••••• F••••••
- R•• W••••• M••••••••• L•• state registered currentsince Jul 2, 2019 · Naples, Fl
- I•••••• C•••••• A••••••• formerAug 23, 2017 to Jul 10, 2019 · Naples, Fl
- P••••••• W••••• P••••••• formerSep 23, 2016 to Jul 31, 2017 · Naples, Fl
- C••••••••• I••••••••• L•• unclassifiedFeb 2, 2015 to Aug 16, 2017 · Naples, Fl
- P••• A••••• S••••••••• L•• BD affiliatedJul 16, 2010 to Jan 9, 2015 · Naples, Fl
- N•••••• I••••••••• I••• unclassifiedSep 26, 2008 to Oct 2, 2009 · West Palm Beach, Fl
- C••••••• A•••• M••••••••• I•• unclassifiedJun 21, 2004 to Sep 11, 2008 · Naples, Fl
- W•••• F•••• A••••••• wirehouseOct 1, 2000 to Sep 9, 2003 · Naples, Fl
- I•••••• C•••••• A••••••• to R•• W••••• M••••••••• L••left Jul 10, 2019, registered Jul 2, 2019 (-8 days) · RIA to a state-registered adviser
- C••••••••• I••••••••• L•• to P••••••• W••••• P•••••••left Aug 16, 2017, registered Sep 23, 2016 (-327 days) · Other · moved with a team
- P••••••• W••••• P••••••• to I•••••• C•••••• A•••••••left Jul 31, 2017, registered Aug 23, 2017 (23 days) · Other · moved with a team
- P••• A••••• S••••••••• L•• to C••••••••• I••••••••• L••left Jan 9, 2015, registered Feb 2, 2015 (24 days) · Other
- N•••••• I••••••••• I••• to P••• A••••• S••••••••• L••left Oct 2, 2009, registered Jul 16, 2010 (287 days) · Other
- C••••••• A•••• M••••••••• I•• to N•••••• I••••••••• I•••left Sep 11, 2008, registered Sep 26, 2008 (15 days) · Other
- W•••• F•••• A••••••• to C••••••• A•••• M••••••••• I••left Sep 9, 2003, registered Jun 21, 2004 (286 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
- STATE REGISTEREDderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address