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.
E••• F••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 28, 2020 · Sarasota, Fl
- M• H••••••• S••••••••• I••• BD affiliatedApr 16, 2019 to Feb 25, 2020 · Tampa, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 26, 2015 to Apr 3, 2019 · Tampa, Fl
- M• H••••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 25, 2020, registered Feb 28, 2020 (3 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to M• H••••••• S••••••••• I•••left Apr 3, 2019, registered Apr 16, 2019 (13 days) · Affiliated broker-dealer or bank to another
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