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•• L• L•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 21, 2009 · Pensacola, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 5, 2008 to Aug 15, 2009 · Pensacola, Fl
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 5, 2008 · Pensacola, Fl
- M••••• S•••••• D• I••• unclassifiedJan 29, 2001 to Apr 2, 2007 · Pensacola, Fl
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 15, 2009, registered Aug 21, 2009 (6 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Mar 5, 2008, registered Mar 5, 2008 (0 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address