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.
D•••••• F• H•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 14, 2017 · Tampa, Fl
- D••••• W••••• M••••••••• independent RIAMar 3, 2017 to Jun 6, 2017 · Tampa, Fl
- S•••••••• A••••••• L•• national BDApr 28, 2009 to Jan 13, 2017 · The Villages, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDNov 27, 2001 to Sep 24, 2008 · Oviedo, Fl
- D••••• W••••• M••••••••• to J••• M••••• S••••••••• L••left Jun 6, 2017, registered Jul 14, 2017 (38 days) · Other
- S•••••••• A••••••• L•• to D••••• W••••• M•••••••••left Jan 13, 2017, registered Mar 3, 2017 (49 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••left Sep 24, 2008, registered Apr 28, 2009 (216 days) · Affiliated broker-dealer or bank to another
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address