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.
C••• C• E••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 29, 2023 · Naples, Fl
- J••• M••••• S••••••••• L•• wirehouseAug 10, 2021 to Oct 22, 2022 · Naples, Fl
- O•••• I••••••••• I••• BD affiliatedNov 3, 2017 to Jun 2, 2021 · Naples, Fl
- F•••• T•••• S••••••••• I••• BD affiliatedMar 6, 2012 to Oct 5, 2015 · Naples, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Feb 17, 2012 · Miami, Fl
- J••• M••••• S••••••••• I••• unclassifiedFeb 22, 2008 to Oct 1, 2008 · Naples, Fl
- M•• F•••••••• A•••••••• I••• formerFeb 23, 2006 to May 8, 2006 · Milwaukee, Wi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 30, 2002 to Jan 6, 2005 · Naples, Fl
- U•• F•••••••• S••••••• I••• wirehouseDec 16, 1997 to Jun 13, 2002 · Naples, Fl
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Oct 22, 2022, registered Jun 29, 2023 (250 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to J••• M••••• S••••••••• L••left Jun 2, 2021, registered Aug 10, 2021 (69 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• T•••• S••••••••• I••• to O•••• I••••••••• I•••left Oct 5, 2015, registered Nov 3, 2017 (760 days) · Other
- J••• M••••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Feb 17, 2012, registered Mar 6, 2012 (18 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- M•• F•••••••• A•••••••• I••• to J••• M••••• S••••••••• I•••left May 8, 2006, registered Feb 22, 2008 (655 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• A•••••••• I•••left Jan 6, 2005, registered Feb 23, 2006 (413 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 13, 2002, registered May 30, 2002 (-14 days) · Wirehouse to wirehouse
- C••• C• E•••••• left J••• M••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-06-29)Oct 22, 2022 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address