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.
T••••• F•••••• G••••
- M••••• S•••••• wirehouse currentsince Oct 3, 2024 · Sarasota, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedAug 20, 2018 to Oct 21, 2024 · Naples, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 3, 2015 to Aug 22, 2018 · Naples, Fl
- J••••• M••••••••• S•••• L•• to M••••• S••••••left Oct 21, 2024, registered Oct 3, 2024 (-18 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Aug 22, 2018, registered Aug 20, 2018 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- T••••• F•••••• G•••• left J••••• M••••••••• S•••• L•• for M••••• S•••••• (registered 2024-10-03)Oct 21, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address