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.
T••••• F•••••• H••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 18, 2015 · Brandon, Fl
- J•• C•••••• A•••••••• L•• formerMay 24, 2010 to Aug 17, 2015 · Valrico, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 19, 2009 to Feb 16, 2010 · Tampa, Fl
- M••••• K••••• • C••••••• L•• formerJun 19, 2008 to Sep 16, 2009 · Birmingham, Al
- J•• C•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 17, 2015, registered Aug 18, 2015 (1 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J•• C•••••• A•••••••• L••left Feb 16, 2010, registered May 24, 2010 (97 days) · Other
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 16, 2009, registered Oct 19, 2009 (33 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address