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.
W•••••• L•• D•••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 10, 2019 · Orlando, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 19, 2018 to Feb 6, 2019 · Altamonte Springs, Fl
- S•••••••• I••••••••• M••••••••• formerApr 6, 2017 to Dec 21, 2017 · Winter Park, Fl
- U••• F•••••••• P••••••• S••••••• formerMar 25, 2015 to Jul 6, 2016 · Tampa, Fl
- P•• W••••• M••••••••• BD affiliatedOct 24, 2013 to Feb 12, 2015 · Bethlehem, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2006 to Oct 13, 2009 · Pennington, Nj
- T••••• A••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 6, 2019, registered Apr 10, 2019 (63 days) · Affiliated broker-dealer or bank to another
- S•••••••• I••••••••• M••••••••• to T••••• A••••••• S•••••••• I•••left Dec 21, 2017, registered Mar 19, 2018 (88 days) · Other
- U••• F•••••••• P••••••• S••••••• to S•••••••• I••••••••• M•••••••••left Jul 6, 2016, registered Apr 6, 2017 (274 days) · Other
- P•• W••••• M••••••••• to U••• F•••••••• P••••••• S•••••••left Feb 12, 2015, registered Mar 25, 2015 (41 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Oct 13, 2009, registered Oct 24, 2013 (1472 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address