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••••• R•••••• F••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2020 · Ocala, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 21, 2009 to Feb 24, 2020 · Ocala, Fl
- U•• F•••••••• S••••••• I••• wirehouseSep 25, 2007 to Aug 15, 2009 · Ocala, Fl
- A• G• E•••••• • S•••• I••• unclassifiedAug 23, 2005 to Sep 27, 2007 · Ocala, Fl
- S•••••• N••••••• • C••••••• I••••••••• to L•• F•••••••• L••left Feb 24, 2020, registered Feb 14, 2020 (-10 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 15, 2009, registered Aug 21, 2009 (6 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••left Sep 27, 2007, registered Sep 25, 2007 (-2 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
- 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