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.
S••••• Y••• P•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 31, 2020 · Orlando, Fl
- M•••••• S••••••••• C••• I••• formerApr 21, 2011 to Nov 4, 2014 · Casselberry, Fl
- L••••••• S••••••••• C•••• BD affiliatedMay 15, 2009 to May 5, 2011 · Casselberry, Fl
- C••••••• A•••• M••••••••• I•• unclassifiedNov 28, 2007 to Apr 23, 2009 · Winter Springs, Fl
- M•••••• S••••••••• C••• I••• to C•••••• S••••• • C••• I•••left Nov 4, 2014, registered Mar 31, 2020 (1974 days) · Other
- L••••••• S••••••••• C•••• to M•••••• S••••••••• C••• I•••left May 5, 2011, registered Apr 21, 2011 (-14 days) · Other
- C••••••• A•••• M••••••••• I•• to L••••••• S••••••••• C••••left Apr 23, 2009, registered May 15, 2009 (22 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