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.
D••••••• M•••• G••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 2, 2019 · Cape Coral, Fl
- F•• S••••••••• C••••••••• formerNov 19, 2013 to Dec 5, 2019 · Cape Coral, Fl
- M•• F•••••••• S•••••••• I••• formerJan 15, 2013 to Nov 21, 2013 · Sarasota, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDNov 12, 2008 to Jan 22, 2013 · Fort Myers, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 20, 1999 to Nov 11, 2008 · Fort Myers, Fl
- F•• S••••••••• C••••••••• to L•• F•••••••• L••left Dec 5, 2019, registered Dec 2, 2019 (-3 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to F•• S••••••••• C•••••••••left Nov 21, 2013, registered Nov 19, 2013 (-2 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 22, 2013, registered Jan 15, 2013 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 11, 2008, registered Nov 12, 2008 (1 days) · Wirehouse to affiliated broker-dealer or bank
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address