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••• P••••••
- S•••••• I••••••••• M••••••••• L•• independent RIA currentsince Jan 9, 2025 · Winter Park, Fl
- L•• F•••••••• L•• BD affiliatedMay 24, 2022 to May 15, 2024 · Winter Park, Fl
- L•• F•••••••• L•• BD affiliatedJun 24, 2008 to Mar 26, 2009 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 22, 2000 to Jan 16, 2007 · Minneapolis, Mn
- L•• F•••••••• L•• to S•••••• I••••••••• M••••••••• L••left May 15, 2024, registered Jan 9, 2025 (239 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 16, 2007, registered Jun 24, 2008 (525 days) · Other
- R••• P•••••• left L•• F•••••••• L•• for S•••••• I••••••••• M••••••••• L•• (registered 2025-01-09)May 15, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address