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•••••• A•••••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 5, 2020 · Tarpon Springs, Fl
- B••• S••••••••• L•• formerJan 2, 2018 to Jan 23, 2020 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerJan 29, 2010 to Jan 2, 2018 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jan 26, 2010 · Ponte Vedra Beach, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 16, 2005 to Oct 23, 2009 · Jacksonville, Fl
- W•••• F•••• A••••••• wirehouseSep 15, 2003 to Jun 14, 2005 · Ponte Vedra Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 21, 2000 to Jun 2, 2003 · Jacksonville, Fl
- B••• S••••••••• L•• to W•••• F•••• A•••••••left Jan 23, 2020, registered Feb 5, 2020 (13 days) · Affiliated broker-dealer or bank to wirehouse
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• I••••••••• S•••••••• I•••left Jan 26, 2010, registered Jan 29, 2010 (3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 14, 2005, registered Jun 16, 2005 (2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jun 2, 2003, registered Sep 15, 2003 (105 days) · Wirehouse to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address