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•••••••• C••••••• J••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 17, 2020 · Fort Walton Beach, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerAug 21, 2014 to Aug 17, 2020 · Fort Walton, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerMar 6, 2013 to Apr 23, 2014 · Pensacola, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 22, 2011 to Oct 11, 2012 · Jacksonville, Fl
- M••••• S•••••• wirehouseApr 13, 2011 to Nov 22, 2011 · Destin, Fl
- U••• F•••••••• P••••••• S••••••• formerNov 21, 2009 to Sep 30, 2010 · San Antonio, Tx
- M••••• K••••• • C••••••• L•• formerSep 22, 2008 to May 1, 2009 · Louisville, Ky
- P•• M•••••• A•••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 17, 2020, registered Aug 17, 2020 (0 days) · Affiliated broker-dealer or bank to wirehouse
- V•••• F•••••••• A•••••••• I••• to P•• M•••••• A•••••• S••••••••• I•••left Oct 11, 2012, registered Mar 6, 2013 (146 days) · Other
- M••••• S•••••• to V•••• F•••••••• A•••••••• I•••left Nov 22, 2011, registered Nov 22, 2011 (0 days) · Other
- U••• F•••••••• P••••••• S••••••• to M••••• S••••••left Sep 30, 2010, registered Apr 13, 2011 (195 days) · Other
- M••••• K••••• • C••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 1, 2009, registered Nov 21, 2009 (204 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