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.
- M••••• S•••••• wirehouse currentsince Dec 22, 2022 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseJan 13, 2017 to Dec 16, 2022 · Lakewood Ranch, Fl
- C••••••• S••••••••• formerOct 17, 2007 to Jan 10, 2017 · Ft. Lauderdale, Fl
- G•••••••• F••••••••• I•• unclassifiedMar 17, 2005 to Jul 20, 2007 · Sarasota, Fl
- U•• F•••••••• S••••••• I••• wirehouseOct 24, 2000 to Apr 22, 2004 · Sarasota, Fl
- W•••• F•••• A••••••• to M••••• S••••••left Dec 16, 2022, registered Dec 22, 2022 (6 days) · Wirehouse to wirehouse
- C••••••• S••••••••• to W•••• F•••• A•••••••left Jan 10, 2017, registered Jan 13, 2017 (3 days) · Other
- G•••••••• F••••••••• I•• to C••••••• S•••••••••left Jul 20, 2007, registered Oct 17, 2007 (89 days) · Other
- U•• F•••••••• S••••••• I••• to G•••••••• F••••••••• I••left Apr 22, 2004, registered Mar 17, 2005 (329 days) · Other
- M•••••• L••• C••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2022-12-22)Dec 16, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address