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.
M•••• G•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 5, 2022 · Tampa, Fl
- G•••• V••••• A•••••• G••••• L•• independent RIAOct 13, 2021 to Mar 23, 2022 · Tampa, Fl
- M••••• S•••••• wirehouseJul 17, 2019 to Jul 28, 2021 · Morristown, Nj
- F•••••••• A••••••• S•••••••• L•• formerApr 22, 2019 to Jun 25, 2019 · Tampa, Fl
- G•••• V••••• A•••••• G••••• L•• to L•• F•••••••• L••left Mar 23, 2022, registered Apr 5, 2022 (13 days) · RIA to RIA
- M••••• S•••••• to G•••• V••••• A•••••• G••••• L••left Jul 28, 2021, registered Oct 13, 2021 (77 days) · Wirehouse to independent RIA
- F•••••••• A••••••• S•••••••• L•• to M••••• S••••••left Jun 25, 2019, registered Jul 17, 2019 (22 days) · Affiliated broker-dealer or bank to wirehouse
- M•••• G••••••••• left G•••• V••••• A•••••• G••••• L•• for L•• F•••••••• L•• (registered 2022-04-05)Mar 23, 2022 · a•••••• firm change · fact
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address