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.
C•••••••• J••• L••
- S•••••• S••••••••• I••• BD affiliated currentsince Apr 1, 2019 · Orlando F, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 12, 2016 to Apr 5, 2019 · Winter Park, Fl
- S••••••• I••••••••• S•••••••• I••• formerAug 11, 2009 to Dec 31, 2016 · Poinciana, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2007 to Jul 31, 2009 · Lake Mary, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 11, 2002 to Apr 23, 2007 · Orlando, Fl
- T••••• A••••••• S•••••••• I••• to S•••••• S••••••••• I•••left Apr 5, 2019, registered Apr 1, 2019 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 12, 2016 (-110 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• I••••••••• S•••••••• I•••left Jul 31, 2009, registered Aug 11, 2009 (11 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 23, 2007, registered Apr 12, 2007 (-11 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address