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.
G••• A•••••••• K••••••
- S•••••••• state registered currentsince Oct 18, 2021 · Vienna, Va
- S•••• W••••• M••••••••• L•• BD affiliatedDec 4, 2014 to Mar 14, 2022 · Mclean, Va
- S•••••••• F•••••••• A••••••• L•• formerFeb 19, 2014 to Dec 2, 2014 · Ocala, Fl
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Dec 23, 2013 · Orlando, Fl
- C•••••• S••••• • C••• I••• national BDJan 7, 2010 to May 31, 2012 · Orlando, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 24, 2006 to Dec 23, 2009 · Jacksonville, Fl
- M••••• S•••••• D• I••• unclassifiedAug 27, 2004 to Feb 16, 2006 · Jacksonville, Fl
- S•••• W••••• M••••••••• L•• to S••••••••left Mar 14, 2022, registered Oct 18, 2021 (-147 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S•••••••• F•••••••• A••••••• L•• to S•••• W••••• M••••••••• L••left Dec 2, 2014, registered Dec 4, 2014 (2 days) · Other
- S••••• W••••• A•••••••• I••• to S•••••••• F•••••••• A••••••• L••left Dec 23, 2013, registered Feb 19, 2014 (58 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left May 31, 2012, registered Jan 3, 2012 (-149 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Dec 23, 2009, registered Jan 7, 2010 (15 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 16, 2006, registered Mar 24, 2006 (36 days) · Other
- G••• A•••••••• K•••••• left S•••• W••••• M••••••••• L•• for Sovereign (registered 2021-10-18)Mar 14, 2022 · Advisor changed firm · 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
- STATE REGISTEREDderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address