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•••••• C••• G•••••••
- M•••••• BD affiliated currentsince Aug 19, 2021 · Sarasota, Fl
- A•••••••• P•••••• A•••••••• L•• formerSep 23, 2020 to Aug 31, 2021 · Sarasota, Fl
- C••••••••• F•••••••• N•••••• national BDApr 13, 2020 to Sep 18, 2020 · Sarasota, Fl
- N•• D•••• R•••••••• I••• asset managerAug 6, 2012 to Jul 2, 2020 · Sarasota, Fl
- A•••••••• P•••••• A•••••••• L•• to M••••••left Aug 31, 2021, registered Aug 19, 2021 (-12 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••••••• F•••••••• N•••••• to A•••••••• P•••••• A•••••••• L••left Sep 18, 2020, registered Sep 23, 2020 (5 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- N•• D•••• R•••••••• I••• to C••••••••• F•••••••• N••••••left Jul 2, 2020, registered Apr 13, 2020 (-80 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address