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.
D•••• G••• S•••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 19, 2017 · Dallas, Tx
- J••••• M••••••••• S•••• L•• BD affiliatedApr 16, 2012 to Jul 27, 2016 · Sarasota, Fl
- M••••• K••••• • C••••••• L•• formerMar 16, 2010 to Apr 12, 2012 · Sarasota, Fl
- W•••• F•••• A••••••• wirehouseAug 31, 2009 to Feb 23, 2010 · Sarasota, Fl
- M•• F•••••••• S•••••••• I••• formerMar 16, 2009 to Jul 23, 2009 · Sarasota, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 8, 2008 to Jan 5, 2009 · Sarasota, Fl
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Jul 27, 2016, registered May 19, 2017 (296 days) · Other
- M••••• K••••• • C••••••• L•• to J••••• M••••••••• S•••• L••left Apr 12, 2012, registered Apr 16, 2012 (4 days) · Other
- W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••left Feb 23, 2010, registered Mar 16, 2010 (21 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jul 23, 2009, registered Aug 31, 2009 (39 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Jan 5, 2009, registered Mar 16, 2009 (70 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address