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•••• D••••• R•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 5, 2021 · Tallahassee, Fl
- C•••••• A••••••• BD affiliatedApr 4, 2019 to Dec 21, 2020 · Tallahassee, Fl
- L•••••• I••••••••• independent RIAMar 29, 2019 to Dec 21, 2020 · Tallahassee, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 21, 2015 to Dec 18, 2017 · Tallahassee, Fl
- C•••••• A••••••• to L•• F•••••••• L••left Dec 21, 2020, registered Jan 5, 2021 (15 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to C•••••• A•••••••left Dec 21, 2020, registered Apr 4, 2019 (-627 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••• I•••••••••left Dec 18, 2017, registered Mar 29, 2019 (466 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address