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••••• C•••••
- T••••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Feb 26, 2020 · Columbus, Oh
- A••••• F•••••••• A•••••••• L•• independent RIASep 5, 2017 to Jan 15, 2020 · Charlotte, Nc
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 10, 2017 to Aug 25, 2017 · Charlotte, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 11, 2016 to Oct 5, 2016 · Melbourne, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 25, 2013 to Dec 16, 2015 · Rockledge, Fl
- A••••• F•••••••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jan 15, 2020, registered Feb 26, 2020 (42 days) · RIA to affiliated broker-dealer or bank
- N••••••••• M••••• I••••••••• S••••••••• to A••••• F•••••••• A•••••••• L••left Aug 25, 2017, registered Sep 5, 2017 (11 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Oct 5, 2016, registered Feb 10, 2017 (128 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 16, 2015, registered Feb 11, 2016 (57 days) · Other · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address