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.
A•••• C•••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Oct 27, 2022 · Fort Lauderdale, Fl
- L•• F•••••••• L•• BD affiliatedJun 17, 2016 to Apr 12, 2022 · Saco, Me
- L•• F•••••••• L•• BD affiliatedJul 24, 2012 to May 9, 2016 · Fort Mill, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedOct 22, 2007 to Dec 31, 2011 · Ventura, Ca
- L•• F•••••••• L•• to T• P•••••• C••••• W••••• L••left Apr 12, 2022, registered Oct 27, 2022 (198 days) · RIA to affiliated broker-dealer or bank
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Dec 31, 2011, registered Jul 24, 2012 (206 days) · Other
- A•••• C••• left L•• F•••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2022-10-27)Apr 12, 2022 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address