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.
E••••• L••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 16, 2019 · Chico, Ca
- W•••• F•••• A••••••• wirehouseApr 12, 2012 to Apr 18, 2019 · Fort Lauderdale, Fl
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerOct 4, 2007 to May 28, 2010 · Deerfield Beach, Fl
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 18, 2019, registered Apr 16, 2019 (-2 days) · Wirehouse to wirehouse
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••left May 28, 2010, registered Apr 12, 2012 (685 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address