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.
- C••• L•• BD affiliated currentsince Feb 19, 2020 · Southlake, Tx
- P•••••• A•••••• G••••• L•• BD affiliatedApr 30, 2019 to Dec 18, 2019 · Morristown, Nj
- I••••••••• F•••••••• P••••••• BD affiliatedAug 6, 2015 to May 2, 2019 · Port Charlotte, Fl
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 6, 2014 to Jul 17, 2015 · Tampa, Fl
- S••••••• I••••••••• S•••••••• I••• formerJul 18, 2013 to Sep 23, 2014 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseJul 17, 2009 to Jun 24, 2013 · Venice, Fl
- O••••••••• • C•• I••• BD affiliatedMar 27, 2009 to Jun 17, 2009 · Washington, Dc
- S••••••• G•••• C•••••• unclassifiedNov 12, 2008 to Mar 16, 2009 · Longboat Key, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 7, 2005 to Nov 18, 2008 · Augusta, Ga
- M••••• S•••••• D• I••• unclassifiedFeb 14, 2005 to Jun 6, 2005 · Augusta, Ga
- P•••••• A•••••• G••••• L•• to C••• L••left Dec 18, 2019, registered Feb 19, 2020 (63 days) · RIA to affiliated broker-dealer or bank
- I••••••••• F•••••••• P••••••• to P•••••• A•••••• G••••• L••left May 2, 2019, registered Apr 30, 2019 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- N••••••••• M••••• I••••••••• S••••••••• to I••••••••• F•••••••• P•••••••left Jul 17, 2015, registered Aug 6, 2015 (20 days) · Other
- S••••••• I••••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Sep 23, 2014, registered Oct 6, 2014 (13 days) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Jun 24, 2013, registered Jul 18, 2013 (24 days) · Other
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Jun 17, 2009, registered Jul 17, 2009 (30 days) · Other
- S••••••• G•••• C•••••• to O••••••••• • C•• I•••left Mar 16, 2009, registered Mar 27, 2009 (11 days) · Other
- C•••••••• G••••• M•••••• I••• to S••••••• G•••• C••••••left Nov 18, 2008, registered Nov 12, 2008 (-6 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Jun 6, 2005, registered Jun 7, 2005 (1 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address