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.
R•••••• B•••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 19, 2020 · Orange City, Fl
- C••••• A••••••• L•• formerSep 8, 2016 to Feb 19, 2020 · Debary, Fl
- I•••••••• C•••••• A••••••• formerMay 22, 2006 to Oct 3, 2016 · Gilford, Nh
- O••••••••• • C•• I••• BD affiliatedJan 9, 2006 to Apr 28, 2006 · Fishkill, Ny
- C••••• A••••••• L•• to L•• F•••••••• L••left Feb 19, 2020, registered Feb 19, 2020 (0 days) · Affiliated broker-dealer or bank to another
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Sep 8, 2016 (-25 days) · channel change inside one enterprise, not a move · moved with a team
- O••••••••• • C•• I••• to I•••••••• C•••••• A•••••••left Apr 28, 2006, registered May 22, 2006 (24 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address