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.
C•••••••• E•••••••• F••••••
- P•••••••• A•••••• S••••••• BD affiliated currentsince Jan 3, 2023 · Estero, Fl
- R•••••• J•••• • A••••••••• I••• national BDAug 10, 2020 to Feb 5, 2021 · Naples, Fl
- M••••• S•••••• wirehouseJul 19, 2017 to Jan 23, 2020 · Palo Alto, Ca
- R•••••• J•••• • A••••••••• I••• to P•••••••• A•••••• S•••••••left Feb 5, 2021, registered Jan 3, 2023 (697 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Jan 23, 2020, registered Aug 10, 2020 (200 days) · Wirehouse to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address