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.
H•••••• H• L•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 21, 2019 · Bradenton, Fl
- H•••••• A•••• M••••••••• L•• independent RIAMar 19, 2019 to May 17, 2019 · Palmetteo, Fl
- R•••••• J•••• • A••••••••• I••• national BDSep 22, 2015 to Feb 28, 2019 · St. Petersburg, Fl
- M••••• S•••••• wirehouseJan 2, 2013 to Sep 25, 2015 · St. Petersburg, Fl
- H•••••• A•••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 17, 2019, registered May 21, 2019 (4 days) · RIA to wirehouse
- R•••••• J•••• • A••••••••• I••• to H•••••• A•••• M••••••••• L••left Feb 28, 2019, registered Mar 19, 2019 (19 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Sep 25, 2015, registered Sep 22, 2015 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address