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.
- L•• F•••••••• L•• BD affiliated currentsince Aug 4, 2021 · Jupiter, Fl
- S••••• W••••• A•••••••• I••• no RAUMNov 5, 2015 to Jul 26, 2021 · Orlando, Fl
- C•••••• S••••• • C••• I••• national BDNov 28, 2011 to Oct 8, 2015 · Orlando, Fl
- M••••• K••••• • C••••••• L•• formerMay 3, 2011 to Oct 31, 2011 · Winter Park, Fl
- S••••• W••••• A•••••••• I••• to L•• F•••••••• L••left Jul 26, 2021, registered Aug 4, 2021 (9 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Oct 8, 2015, registered Nov 5, 2015 (28 days) · channel change inside one enterprise, not a move
- M••••• K••••• • C••••••• L•• to C•••••• S••••• • C••• I•••left Oct 31, 2011, registered Nov 28, 2011 (28 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address