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.
C•••• M••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Wellington, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 16, 2021 to Mar 31, 2025 · Jacksonville, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 13, 2020 to Apr 27, 2021 · Boca Raton, Fl
- T• A••••••••• I••• formerAug 11, 2020 to Apr 27, 2021 · Boca Raton, Fl
- E•••••••• A•••••••• L•• national BDSep 18, 2019 to May 22, 2020 · Boca Raton, Fl
- T••••••••• R••••••••• A•••••••• L•• BD affiliatedMar 24, 2015 to Aug 12, 2019 · St. Petersburg, Fl
- N••• F•••••••• G••••• I••• formerMar 2, 2007 to Jan 12, 2011 · Mechanicsburg, Pa
- W•••••• • R••• formerOct 3, 2000 to Dec 31, 2006 · Mechanicsburg, Pa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 27, 2021, registered Aug 13, 2020 (-257 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 27, 2021, registered Jun 16, 2021 (50 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to T• A••••••••• I•••left May 22, 2020, registered Aug 11, 2020 (81 days) · Other
- T••••••••• R••••••••• A•••••••• L•• to E•••••••• A•••••••• L••left Aug 12, 2019, registered Sep 18, 2019 (37 days) · Affiliated broker-dealer or bank to another
- N••• F•••••••• G••••• I••• to T••••••••• R••••••••• A•••••••• L••left Jan 12, 2011, registered Mar 24, 2015 (1532 days) · Other
- W•••••• • R••• to N••• F•••••••• G••••• I•••left Dec 31, 2006, registered Mar 2, 2007 (61 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
- 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