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.
R•••••• A•••• C••••••••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Feb 12, 2018 · Sarasota, Fl
- M••••• S•••••• wirehouseAug 20, 2010 to Feb 12, 2018 · Sarasota, Fl
- M••••• K••••• • C••••••• L•• formerJun 19, 2007 to Aug 16, 2010 · Sarasota, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 3, 2003 to Jun 8, 2007 · Sarasota, Fl
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left Feb 12, 2018, registered Feb 12, 2018 (0 days) · Wirehouse to independent RIA
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Aug 16, 2010, registered Aug 20, 2010 (4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••left Jun 8, 2007, registered Jun 19, 2007 (11 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address