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••••• S•••••• wirehouse currentsince Feb 5, 2024 · Palm Harbor, Fl
- W•••• F•••• A••••••• wirehouseNov 5, 2014 to Nov 21, 2023 · Tampa, Fl
- P•• C•••••• A••••••• L•• otherApr 18, 2013 to Oct 13, 2014 · Erie, Pa
- L•• F•••••••• L•• BD affiliatedMar 3, 2009 to Mar 14, 2013 · Erie, Pa
- I••••• F•••••••• C••••••••• formerMay 19, 2006 to Mar 11, 2009 · Spartansburg, Pa
- W•••• F•••• A••••••• to M••••• S••••••left Nov 21, 2023, registered Feb 5, 2024 (76 days) · Wirehouse to wirehouse · moved with a team
- P•• C•••••• A••••••• L•• to W•••• F•••• A•••••••left Oct 13, 2014, registered Nov 5, 2014 (23 days) · Other
- L•• F•••••••• L•• to P•• C•••••• A••••••• L••left Mar 14, 2013, registered Apr 18, 2013 (35 days) · Other
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Mar 11, 2009, registered Mar 3, 2009 (-8 days) · Other
- D••• M• G•••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2024-02-05)Nov 21, 2023 · 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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address