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.
S••••••• B••••• P•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Nov 13, 2013 · Clermont, Fl
- M••••• S•••••• wirehouseSep 8, 2010 to Feb 20, 2013 · Orlando, Fl
- M•• F•••••••• S•••••••• I••• formerDec 2, 2009 to Aug 16, 2010 · Plantation, Fl
- M••••• K••••• • C••••••• L•• formerMay 20, 2008 to Sep 15, 2009 · Coral Gables, Fl
- M••••• S•••••• to F•••• T•••• S••••••••• I•••left Feb 20, 2013, registered Nov 13, 2013 (266 days) · Other
- M•• F•••••••• S•••••••• I••• to M••••• S••••••left Aug 16, 2010, registered Sep 8, 2010 (23 days) · Other
- M••••• K••••• • C••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 15, 2009, registered Dec 2, 2009 (78 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address