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.
S••••• J••••• D••••
- O••••• W••••• G••••• L•• independent RIA currentsince Mar 6, 2023 · Orlando, Fl
- A• W••••• M••••••••• L•• BD affiliatedJun 23, 2017 to Aug 17, 2022 · Kissimmee, Fl
- U•• F•••••••• S••••••••• L•• independent RIAJan 3, 2017 to Mar 14, 2017 · Senaca, Sc
- F•••••• I••••••••• M••••••••• I••• independent RIADec 15, 2015 to Jun 28, 2017 · Seneca, Sc
- F••••••••• I••••••••• A••••••• L•• independent RIANov 3, 2015 to Dec 16, 2015 · Seneca, Sc
- A• W••••• M••••••••• L•• to O••••• W••••• G••••• L••left Aug 17, 2022, registered Mar 6, 2023 (201 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••• I••••••••• M••••••••• I••• to U•• F•••••••• S••••••••• L••left Jun 28, 2017, registered Jan 3, 2017 (-176 days) · Other
- U•• F•••••••• S••••••••• L•• to A• W••••• M••••••••• L••left Mar 14, 2017, registered Jun 23, 2017 (101 days) · Other
- F••••••••• I••••••••• A••••••• L•• to F•••••• I••••••••• M••••••••• I•••left Dec 16, 2015, registered Dec 15, 2015 (-1 days) · Other
- S••••• J••••• D•••• left A• W••••• M••••••••• L•• for O••••• W••••• G••••• L•• (registered 2023-03-06)Aug 17, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address