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.
D•••• P••• S••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jul 8, 2026 · Orlando, Fl
- E•••••• C•••••• M••••••••• L•• formerMar 25, 2016 to Feb 8, 2017 · Orlando, Fl
- W•••• F•••• A••••••• wirehouseNov 7, 2012 to Jul 7, 2015 · Lakeland, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 21, 2008 to Jul 12, 2012 · Rhinelander, Wi
- E•••••• C•••••• M••••••••• L•• to S••••• W••••• A•••••••• I•••left Feb 8, 2017, registered Jul 8, 2026 (3437 days) · Other
- W•••• F•••• A••••••• to E•••••• C•••••• M••••••••• L••left Jul 7, 2015, registered Mar 25, 2016 (262 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Jul 12, 2012, registered Nov 7, 2012 (118 days) · Affiliated broker-dealer or bank to wirehouse
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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address