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•••••••• M•••• D••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 19, 2021 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseSep 28, 2017 to Jan 14, 2021 · Sarasota, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedOct 28, 2016 to Sep 28, 2017 · Bradenton, Fl
- S••••••• I••••••••• S•••••••• I••• formerJan 16, 2014 to Dec 31, 2016 · Bradenton, Fl
- C••• B•••••••• S•••••••• I••• formerJan 22, 2008 to Jun 26, 2013 · Madison, Wi
- C•••••• G•••••••• W••••• A••••••• formerJul 11, 2006 to Jan 18, 2008 · Madison, Wi
- S•• W••••• M••••••••• I••• unclassifiedMay 19, 2003 to Jun 20, 2006 · Madison, Wi
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Jan 14, 2021, registered Jan 19, 2021 (5 days) · Wirehouse to affiliated broker-dealer or bank
- T••••• A••••••• S•••••••• I••• to W•••• F•••• A•••••••left Sep 28, 2017, registered Sep 28, 2017 (0 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Oct 28, 2016 (-64 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jun 26, 2013, registered Jan 16, 2014 (204 days) · Other
- C•••••• G•••••••• W••••• A••••••• to C••• B•••••••• S•••••••• I•••left Jan 18, 2008, registered Jan 22, 2008 (4 days) · Other
- S•• W••••• M••••••••• I••• to C•••••• G•••••••• W••••• A•••••••left Jun 20, 2006, registered Jul 11, 2006 (21 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address