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.
L••••• M•••• W•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 19, 2020 · Winter Park, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 24, 2013 to Feb 20, 2020 · Lake Mary, Fl
- P•••••• W••••• M••••••••• A• H••••••• unclassifiedMay 10, 2013 to Dec 11, 2013 · Lake Mary, Fl
- L•• F•••••••• L•• BD affiliatedDec 5, 2012 to Sep 26, 2013 · Lake Mary, Fl
- J•••••• W••••• M••••••••• L•• independent RIAMay 5, 2011 to Oct 11, 2012 · Lake Mary, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Feb 20, 2020, registered Feb 19, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••••• W••••• M••••••••• A• H••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 11, 2013, registered Sep 24, 2013 (-78 days) · Other
- L•• F•••••••• L•• to P•••••• W••••• M••••••••• A• H•••••••left Sep 26, 2013, registered May 10, 2013 (-139 days) · Other
- J•••••• W••••• M••••••••• L•• to L•• F•••••••• L••left Oct 11, 2012, registered Dec 5, 2012 (55 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address