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.
R••••• A••••• B•••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Jul 5, 2019 · Jacksonville Beach, Fl
- L•• F•••••••• L•• BD affiliatedSep 11, 2009 to Jul 15, 2019 · Jacksonville Beach, Fl
- M••••• S•••••• C••••••••• unclassifiedSep 18, 2008 to Sep 17, 2009 · Boston, Ma
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedApr 10, 2008 to Jul 24, 2008 · Jacksonville Beach, Fl
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Jul 15, 2019, registered Jul 5, 2019 (-10 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 17, 2009, registered Sep 11, 2009 (-6 days) · corporate re-registration, not a move
- A••••••• G•••••• S••••••••• I••••••••• to M••••• S•••••• C•••••••••left Jul 24, 2008, registered Sep 18, 2008 (56 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address