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••• D••••• L•••••••••
- S••••• W••••• P•••••••• L•• independent RIA currentsince Jun 16, 2020 · Fort Myers, Fl
- S••••• W••••• P•••••••• L•• formerJan 6, 2016 to Aug 19, 2016 · Fort Myers, Fl
- S•• A••••••• N••••••• L•• unclassifiedJan 16, 2015 to Mar 29, 2016 · Fort Myers, Fl
- F••••• W••••• A••••••• formerFeb 5, 2013 to Jan 30, 2015 · Estero, Fl
- A••••• W••••• M••••••••• state registeredAug 16, 2010 to Dec 11, 2012 · Longwood, Fl
- G• A• R••••• • C•••••• BD affiliatedSep 8, 2005 to Dec 5, 2012 · Fort Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 13, 2004 to Aug 12, 2005 · Fort Myers, Fl
- G• A• R••••• • C•••••• BD affiliatedJun 19, 2003 to Feb 26, 2004 · Bonita Springs, Fl
- F•• S••••••••• C••••••••• formerNov 5, 1999 to Jun 2, 2003 · Fort Myers, Fl
- S••••• W••••• P•••••••• L•• to S••••• W••••• P•••••••• L••left Aug 19, 2016, registered Jun 16, 2020 (1397 days) · channel change inside one enterprise, not a move · moved with a team
- S•• A••••••• N••••••• L•• to S••••• W••••• P•••••••• L••left Mar 29, 2016, registered Jan 6, 2016 (-83 days) · Other · moved with a team
- F••••• W••••• A••••••• to S•• A••••••• N••••••• L••left Jan 30, 2015, registered Jan 16, 2015 (-14 days) · Other
- A••••• W••••• M••••••••• to F••••• W••••• A•••••••left Dec 11, 2012, registered Feb 5, 2013 (56 days) · Other
- G• A• R••••• • C•••••• to A••••• W••••• M•••••••••left Dec 5, 2012, registered Aug 16, 2010 (-842 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G• A• R••••• • C••••••left Aug 12, 2005, registered Sep 8, 2005 (27 days) · Other
- G• A• R••••• • C•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 26, 2004, registered Apr 13, 2004 (47 days) · Other
- F•• S••••••••• C••••••••• to G• A• R••••• • C••••••left Jun 2, 2003, registered Jun 19, 2003 (17 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address