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.
H•••••• G•••••• C••••
- S••••• F••••••••• L•• BD affiliated currentsince Apr 30, 2024 · Naples, Fl
- U•• F•••••••• S••••••• I••• wirehouseJun 8, 2015 to May 7, 2024 · Bonita Springs, Fl
- U•• F•••••••• S••••••• I••• wirehouseMar 31, 2011 to Aug 6, 2013 · Bonita Springs, Fl
- S•••••••• A••••••• L•• national BDOct 9, 2007 to May 5, 2009 · Naples, Fl
- U•• F•••••••• S••••••• I••• to S••••• F••••••••• L••left May 7, 2024, registered Apr 30, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••left May 5, 2009, registered Mar 31, 2011 (695 days) · Affiliated broker-dealer or bank to wirehouse
- H•••••• G•••••• C•••• left U•• F•••••••• S••••••• I••• for S••••• F••••••••• L•• (registered 2024-04-30)May 7, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address