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••••• W••••• S•••••
- A•••• C•••••• C•••• BD affiliated currentsince Jun 23, 2015 · New York, Ny
- J•• C•••••• A•••••••• L•• formerJun 16, 2010 to Jun 17, 2015 · Sarasota, Fl
- V•••• C•••••• M••••••••• formerNov 10, 2009 to Apr 30, 2010 · Sarasota, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Mar 17, 2008 · Sarasota, Fl
- J•• C•••••• A•••••••• L•• to A•••• C•••••• C••••left Jun 17, 2015, registered Jun 23, 2015 (6 days) · Other · moved with a team
- V•••• C•••••• M••••••••• to J•• C•••••• A•••••••• L••left Apr 30, 2010, registered Jun 16, 2010 (47 days) · Other
- C•••••••• G••••• M•••••• I••• to V•••• C•••••• M•••••••••left Mar 17, 2008, registered Nov 10, 2009 (603 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address