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••••• R••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 28, 2023 · Sarasota, Fl
- S••••• F•••••••• G•••• I•• formerApr 3, 2013 to May 20, 2021 · Sarasota, Fl
- W•••••• • R••• formerDec 12, 2011 to Mar 27, 2013 · Sarasota, Fl
- A••••••• • S••••••••• I••••••••• formerAug 2, 2010 to Dec 9, 2011 · Longwood, Fl
- R•••••••• A•••• M••••••••• unclassifiedFeb 6, 2009 to Dec 6, 2011 · Sarasota, Fl
- J•••• • L••••• S••••••••• C••• unclassifiedDec 23, 2008 to Jul 7, 2010 · Sarasota, Fl
- J•••• • L••••• A••••••• unclassifiedJan 5, 2007 to Dec 31, 2008 · Sarasota, Fl
- R•••••••• A•••• M••••••••• unclassifiedDec 12, 2006 to Dec 31, 2008 · Sarasota, Fl
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left May 20, 2021, registered Apr 28, 2023 (708 days) · corporate re-registration, not a move
- W•••••• • R••• to S••••• F•••••••• G•••• I••left Mar 27, 2013, registered Apr 3, 2013 (7 days) · Other
- A••••••• • S••••••••• I••••••••• to W•••••• • R•••left Dec 9, 2011, registered Dec 12, 2011 (3 days) · Other
- R•••••••• A•••• M••••••••• to A••••••• • S••••••••• I•••••••••left Dec 6, 2011, registered Aug 2, 2010 (-491 days) · Other
- J•••• • L••••• S••••••••• C••• to R•••••••• A•••• M•••••••••left Jul 7, 2010, registered Feb 6, 2009 (-516 days) · Other
- J•••• • L••••• A••••••• to J•••• • L••••• S••••••••• C•••left Dec 31, 2008, registered Dec 23, 2008 (-8 days) · Other
- R•••••••• A•••• M••••••••• to J•••• • L••••• A•••••••left Dec 31, 2008, registered Jan 5, 2007 (-726 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address