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.
I••• A••••• R•••••••••
- G••• L••• A•••••••• L•• i••••••••• wealth currentsince Nov 9, 2018 · Lakewood Ranch, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedJun 14, 2011 to Dec 26, 2018 · Lakewood Ranch, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 2005 to Feb 18, 2009 · Sarasota, Fl
- I••••••••• F•••••••• P••••••• to G••• L••• A•••••••• L••left Dec 26, 2018, registered Nov 9, 2018 (-47 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••••••• F•••••••• P•••••••left Feb 18, 2009, registered Jun 14, 2011 (846 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address