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••••• S•••••• wirehouse currentsince Sep 5, 2023 · Tampa, Fl
- E•••••• C•••••• M••••••••• L•• formerDec 10, 2020 to Sep 5, 2023 · Alpharetta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 3, 2016 to May 29, 2019 · Tampa, Fl
- F•••• C•••••• A••••••• S••••••• BD affiliatedDec 15, 2015 to Apr 19, 2016 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerNov 30, 2015 to Dec 15, 2015 · Tampa, Fl
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left May 29, 2019, registered Dec 10, 2020 (561 days) · Wirehouse to independent RIA
- F•••• C•••••• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 19, 2016, registered May 3, 2016 (14 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• A••••••• S•••••••left Dec 15, 2015, registered Dec 15, 2015 (0 days) · corporate re-registration, not a move
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address