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.
S••••• A•••••• C••••
- N•••••• A••••••• BD affiliated currentsince Dec 20, 2024 · New Orleans, La
- M•• A••••••• F•••••••• M••••••••• I••• formerApr 23, 2018 to Nov 1, 2021 · Sarasota, Fl
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Apr 25, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerSep 16, 2014 to Jan 8, 2018 · Tampa, Fl
- B••• I••••••••• S•••••••• I••• formerOct 10, 2013 to Jun 30, 2014 · Sarasota, Fl
- M•• A••••••• F•••••••• M••••••••• I••• to N•••••• A•••••••left Nov 1, 2021, registered Dec 20, 2024 (1145 days) · corporate re-registration, not a move
- U••• I••••••••• S••••••• C•••••• to M•• A••••••• F•••••••• M••••••••• I•••left Apr 25, 2018, registered Apr 23, 2018 (-2 days) · Affiliated broker-dealer or bank to another
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to U••• F•••••••• P••••••• S•••••••left Jun 30, 2014, registered Sep 16, 2014 (78 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address