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.
M••••••• J• M••••• C••••
- M•••••• BD affiliated currentsince Aug 5, 2021 · Sarasota, Fl
- A•••••••• P•••••• A•••••••• L•• formerOct 1, 2020 to Aug 31, 2021 · Sarasota, Fl
- C••••••••• F•••••••• N•••••• national BDAug 5, 2019 to Sep 29, 2020 · Sarasota, Fl
- H• B•••• I••• formerApr 28, 2016 to Jul 30, 2019 · Sarasota, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDOct 9, 2012 to Apr 22, 2016 · Wilmington, De
- A•••••••• P•••••• A•••••••• L•• to M••••••left Aug 31, 2021, registered Aug 5, 2021 (-26 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••••••• F•••••••• N•••••• to A•••••••• P•••••• A•••••••• L••left Sep 29, 2020, registered Oct 1, 2020 (2 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- H• B•••• I••• to C••••••••• F•••••••• N••••••left Jul 30, 2019, registered Aug 5, 2019 (6 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to H• B•••• I•••left Apr 22, 2016, registered Apr 28, 2016 (6 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address