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.
C•••••• S••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 25, 2021 · Pensacola, Fl
- W•••• F•••• A••••••• wirehouseMar 21, 2016 to May 28, 2021 · Pensacola, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 7, 2016 · Pensacola, Fl
- M••••• S•••••• • C•• L•• unclassifiedJan 23, 2009 to Jun 1, 2009 · Pensacola, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 17, 2007 to Jan 28, 2009 · Pensacola, Fl
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 28, 2021, registered May 25, 2021 (-3 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Apr 7, 2016, registered Mar 21, 2016 (-17 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jan 28, 2009, registered Jan 23, 2009 (-5 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address