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.
J•••• D• S••••••
- F••••••••• F•••••••• P•••••••• L••• independent RIA currentsince Nov 14, 2022 · Venice, Fl
- F••••••••• P•••••• W••••• formerMar 3, 2022 to Dec 9, 2022 · Venice, Fl
- P•••• S••••••••• L•• no RAUMDec 6, 2012 to Jan 25, 2022 · Fort Myers, Fl
- F••••••••• P•••••• W••••• to F••••••••• F•••••••• P•••••••• L•••left Dec 9, 2022, registered Nov 14, 2022 (-25 days) · RIA to a newly registered adviser · moved with a team
- P•••• S••••••••• L•• to F••••••••• P•••••• W•••••left Jan 25, 2022, registered Mar 3, 2022 (37 days) · Affiliated broker-dealer or bank to independent RIA
- J•••• D• S•••••• left F••••••••• P•••••• W••••• for F••••••••• F•••••••• P•••••••• L••• (registered 2022-11-14)Dec 9, 2022 · Advisor changed firm · fact
- J•••• D• S•••••• left P•••• S••••••••• L•• for F••••••••• P•••••• W••••• (registered 2022-03-03)Jan 25, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address