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•••••• BD affiliated currentsince Oct 7, 2021 · Orlando, Fl
- C••••••••• F•••••••• N•••••• national BDAug 21, 2015 to Oct 1, 2021 · Orlando, Fl
- N•• A•••••• S•••••••• L•• formerFeb 5, 2008 to Aug 21, 2015 · Orlando, Fl
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMay 8, 2003 to Oct 13, 2004 · Orlando, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 17, 2001 to Jul 17, 2002 · Orlando, Fl
- C••••••••• F•••••••• N•••••• to M••••••left Oct 1, 2021, registered Oct 7, 2021 (6 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 21, 2015, registered Aug 21, 2015 (0 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to N•• A•••••• S•••••••• L••left Oct 13, 2004, registered Feb 5, 2008 (1210 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jul 17, 2002, registered May 8, 2003 (295 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address