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.
M•••••• W•••••• C•••••••
- M•••••• BD affiliated currentsince Oct 2, 2023 · Sandy Springs, Ga
- A•••••• A••••••• S••••••• formerAug 12, 2022 to Oct 7, 2023 · Gainesville, Fl
- A•••••• P••••••• P•••••••• I••• BD affiliatedJul 12, 2013 to Oct 7, 2023 · Gainesville, Fl
- P•••••• W••••• S••••••••• L••• formerAug 7, 2008 to Apr 1, 2013 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 18, 2006 to Jun 30, 2008 · Jacksonville, Fl
- A•••••• A••••••• S••••••• to M••••••left Oct 7, 2023, registered Oct 2, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- A•••••• P••••••• P•••••••• I••• to A•••••• A••••••• S•••••••left Oct 7, 2023, registered Aug 12, 2022 (-421 days) · Affiliated broker-dealer or bank to another
- P•••••• W••••• S••••••••• L••• to A•••••• P••••••• P•••••••• I•••left Apr 1, 2013, registered Jul 12, 2013 (102 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•••••• W••••• S••••••••• L•••left Jun 30, 2008, registered Aug 7, 2008 (38 days) · Other
- M•••••• W•••••• C••••••• left A•••••• A••••••• S••••••• for Mariner (registered 2023-10-02)Oct 7, 2023 · Advisor changed firm · fact
- M•••••• W•••••• C••••••• left A•••••• P••••••• P•••••••• I••• for A•••••• A••••••• S••••••• (registered 2022-08-12)Oct 7, 2023 · 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