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.
C••••••••• R• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Macon, Ga
- I••••• F•••••••• C••••••••• formerJul 20, 2017 to Feb 15, 2018 · Appleton, Wi
- T••••• A••••••• S•••••••• I••• BD affiliatedSep 9, 2016 to Jul 18, 2017 · Gainesville, Fl
- S••••••• I••••••••• S•••••••• I••• formerJul 20, 2015 to Dec 31, 2016 · Gainesville, Fl
- C••• B•••••••• S•••••••• I••• formerMay 26, 2009 to Jul 10, 2015 · Gainesville, Fl
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jul 18, 2017, registered Jul 20, 2017 (2 days) · Other
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Sep 9, 2016 (-113 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jul 10, 2015, registered Jul 20, 2015 (10 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address