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•••••••• E•••••• D•••
- C••••• D••• • D• V••••••• W••••• M••••••••• L•• independent RIA currentsince Dec 3, 2010 · Gainesville, Fl
- S••••• F•••••••• G•••• I•• formerMar 18, 2009 to Nov 3, 2010 · Gainesville, Fl
- U•• F•••••••• S••••••• I••• wirehouseMay 30, 2007 to Mar 4, 2009 · Gainsville, Fl
- E••••• J•••• national BDFeb 13, 2007 to May 31, 2007 · Gainesville, Fl
- S••••• F•••••••• G•••• I•• to C••••• D••• • D• V••••••• W••••• M••••••••• L••left Nov 3, 2010, registered Dec 3, 2010 (30 days) · Other
- U•• F•••••••• S••••••• I••• to S••••• F•••••••• G•••• I••left Mar 4, 2009, registered Mar 18, 2009 (14 days) · Other
- E••••• J•••• to U•• F•••••••• S••••••• I•••left May 31, 2007, registered May 30, 2007 (-1 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address