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.
W•••• S•••••• K••••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Jun 26, 2018 · Pensacola, Fl
- M•••• C••••••• A••••••• S•••••• BD affiliatedJul 11, 2016 to Jun 21, 2018 · Pensacola, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerJun 3, 2014 to Jun 3, 2016 · Pensacola, Fl
- E••••• J•••• national BDMar 29, 2011 to Apr 28, 2014 · St Louis, Mo
- M•••• C••••••• A••••••• S•••••• to V•••• F•••••••• A•••••••• I•••left Jun 21, 2018, registered Jun 26, 2018 (5 days) · Affiliated broker-dealer or bank to another
- P•• M•••••• A•••••• S••••••••• I••• to M•••• C••••••• A••••••• S••••••left Jun 3, 2016, registered Jul 11, 2016 (38 days) · Other
- E••••• J•••• to P•• M•••••• A•••••• S••••••••• I•••left Apr 28, 2014, registered Jun 3, 2014 (36 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address