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.
L••• F••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 28, 2009 · Tallahassee, Fl
- N•• E•••••• S••••••••• C••••••••• formerJul 22, 2009 to Sep 21, 2009 · Tallahassee, Fl
- T•••• S••••• S••••••••• I••• formerAug 1, 2008 to Jun 16, 2009 · Tallahassee, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 20, 2003 to Jun 2, 2008 · Tallahassee, Fl
- N•• E•••••• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 21, 2009, registered Sep 28, 2009 (7 days) · Other
- T•••• S••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Jun 16, 2009, registered Jul 22, 2009 (36 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to T•••• S••••• S••••••••• I•••left Jun 2, 2008, registered Aug 1, 2008 (60 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address