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.
G••••• D•••• L•••••
- S••••• H••• F•••••••• P•••••••• L•• independent RIA currentsince Oct 22, 2012 · Sebring, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 13, 2009 to Dec 31, 2016 · Sebring, Fl
- L•• F•••••••• L•• BD affiliatedDec 10, 2007 to Oct 1, 2009 · Fort Mill, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 7, 2006 to Sep 17, 2009 · Sebring, Fl
- I••••••••• C•••••• O• A••••••• I••• formerFeb 11, 2004 to Oct 10, 2006 · Sebring, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••• H••• F•••••••• P•••••••• L••left Dec 31, 2016, registered Oct 22, 2012 (-1531 days) · Other
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 1, 2009, registered Oct 13, 2009 (12 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Sep 17, 2009, registered Dec 10, 2007 (-647 days) · Other
- I••••••••• C•••••• O• A••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Oct 10, 2006, registered Sep 7, 2006 (-33 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address