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•••••••• B•••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jan 24, 2024 · Chicago, Il
- R••••••• C••••••••• G•••• formerSep 15, 2015 to Jan 26, 2024 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseApr 7, 2009 to May 27, 2010 · Charlotte, Nc
- A••••••••• L••• otherMay 31, 2005 to Nov 10, 2008 · Tampa, Fl
- R••••••• C••••••••• G•••• to H•••••••• A•••••••• L••left Jan 26, 2024, registered Jan 24, 2024 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to R••••••• C••••••••• G••••left May 27, 2010, registered Sep 15, 2015 (1937 days) · Other
- A••••••••• L••• to W•••• F•••• A•••••••left Nov 10, 2008, registered Apr 7, 2009 (148 days) · Other
- G•••• A•••••••• B••• left R••••••• C••••••••• G•••• for H•••••••• A•••••••• L•• (registered 2024-01-24)Jan 26, 2024 · 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
- 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