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•••• R••••••• N••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 15, 2019 · Oviedo, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 26, 2016 to Nov 15, 2019 · Lake Mary, Fl
- R•••••• J•••• • A••••••••• I••• national BDNov 14, 2011 to Apr 1, 2016 · Orlando, Fl
- M••••• K••••• • C••••••• L•• formerFeb 23, 2007 to Nov 11, 2011 · Winter Park, Fl
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJun 30, 2006 to Feb 20, 2007 · Memphis, Tn
- U•• F•••••••• S••••••• I••• wirehouseDec 17, 2004 to May 25, 2006 · Orlando, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Nov 15, 2019, registered Nov 15, 2019 (0 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 1, 2016, registered Apr 26, 2016 (25 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Nov 11, 2011, registered Nov 14, 2011 (3 days) · channel change inside one enterprise, not a move
- A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••left Feb 20, 2007, registered Feb 23, 2007 (3 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left May 25, 2006, registered Jun 30, 2006 (36 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address