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.
A•••••••• N••••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince May 8, 2023 · Naples, Fl
- C•••••• A••••••• BD affiliatedJan 16, 2019 to Apr 21, 2023 · Bonita Springs, Fl
- L•••••• I••••••••• independent RIAJan 15, 2019 to Apr 21, 2023 · Bonita Springs, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 7, 2017 to Aug 6, 2018 · Naples, Fl
- M••••• S•••••• wirehouseSep 23, 2015 to Jan 6, 2017 · Naples, Fl
- E••••• J•••• national BDFeb 4, 2015 to Jun 24, 2015 · Bonita Springs, Fl
- C•••••• A••••••• to L•• F•••••••• L••left Apr 21, 2023, registered May 8, 2023 (17 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• to C•••••• A•••••••left Apr 21, 2023, registered Jan 16, 2019 (-1556 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left Aug 6, 2018, registered Jan 15, 2019 (162 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Jan 6, 2017, registered Feb 7, 2017 (32 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M••••• S••••••left Jun 24, 2015, registered Sep 23, 2015 (91 days) · Affiliated broker-dealer or bank to wirehouse
- A•••••••• N••••• B•••••• left C•••••• A••••••• for L•• F•••••••• L•• (registered 2023-05-08)Apr 21, 2023 · Advisor changed firm · fact
- A•••••••• N••••• B•••••• left L•••••• I••••••••• for C•••••• A••••••• (registered 2019-01-16)Apr 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address