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.
H•••••• I•• J•••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 30, 2006 · Naples, Fl
- L••••• F••••••••• I••• BD affiliatedOct 24, 2002 to Jan 17, 2006 · Naples, Fl
- U•• F•••••••• S••••••• I••• wirehouseApr 2, 1998 to Nov 5, 2002 · Naples, Fl
- L••••• F••••••••• I••• to W•••• F•••• A•••••••left Jan 17, 2006, registered Jan 30, 2006 (13 days) · Other
- U•• F•••••••• S••••••• I••• to L••••• F••••••••• I•••left Nov 5, 2002, registered Oct 24, 2002 (-12 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address