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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- L•• F•••••••• L•• BD affiliated currentsince Nov 8, 2021 · Fernandina Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 24, 2015 to Oct 25, 2021 · Jacksonville, Fl
- W•••• F•••• A••••••• wirehouseApr 24, 2013 to Sep 1, 2015 · Medford, Or
- H••••• A•• A••••••••• I••• independent RIAMay 24, 2012 to Apr 10, 2013 · Sheridan, Wy
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Oct 25, 2021, registered Nov 8, 2021 (14 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2015, registered Sep 24, 2015 (23 days) · Wirehouse to wirehouse
- H••••• A•• A••••••••• I••• to W•••• F•••• A•••••••left Apr 10, 2013, registered Apr 24, 2013 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address