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.
J•••• E• L•••
- C•• A•••• M••••••••• G•••• independent RIA currentsince Dec 11, 2018 · Naples, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 13, 2018 · Sarasota, Fl
- S•••••••• A••••••• L•• national BDJun 25, 2008 to Jul 13, 2018 · Boca Raton, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to C•• A•••• M••••••••• G••••left Dec 13, 2018, registered Dec 11, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address