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.
K••• S••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 12, 2023 · Naples, Fl
- T• P•••••• C••••• W••••• L•• BD affiliatedJul 6, 2021 to Jun 16, 2023 · West Palm Beach, Fl
- P•• W••••• M••••••••• BD affiliatedFeb 26, 2019 to Jun 24, 2021 · Ft. Myers, Fl
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 14, 2018 to Feb 20, 2019 · Naples, Fl
- T• A••••••••• I••• formerMar 8, 2018 to Feb 20, 2019 · Naples, Fl
- P•• W••••• M••••••••• BD affiliatedOct 18, 2014 to Feb 21, 2018 · Cleveland, Oh
- T• P•••••• C••••• W••••• L•• to J••• M••••• S••••••••• L••left Jun 16, 2023, registered Jun 12, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse
- P•• W••••• M••••••••• to T• P•••••• C••••• W••••• L••left Jun 24, 2021, registered Jul 6, 2021 (12 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••left Feb 20, 2019, registered Feb 26, 2019 (6 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 20, 2019, registered Mar 14, 2018 (-343 days) · channel change inside one enterprise, not a move
- P•• W••••• M••••••••• to T• A••••••••• I•••left Feb 21, 2018, registered Mar 8, 2018 (15 days) · Other
- K••• S•••••• left T• P•••••• C••••• W••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-06-12)Jun 16, 2023 · 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address