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.
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J•••• E••••• H•••••
- R•• C•••••• M••••••• L•• national BD currentsince Apr 30, 2025 · Sarasota, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 12, 2012 to May 13, 2025 · Sarasota, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 21, 2012 · Sarasota, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Sarasota, Fl
- M••••• S•••••• D• I••• unclassifiedSep 20, 2005 to Apr 2, 2007 · Sarasota, Fl
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 8, 2001 to Sep 23, 2005 · Sarasota, Fl
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left May 13, 2025, registered Apr 30, 2025 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 21, 2012, registered Sep 12, 2012 (-9 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• S•••••• D• I•••left Sep 23, 2005, registered Sep 20, 2005 (-3 days) · Other
- J•••• E••••• H••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2025-04-30)May 13, 2025 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address