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.
W••••• H••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince May 4, 2023 · Bradenton, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 10, 2017 to May 10, 2023 · Sarasota, Fl
- O••••••••• • C•• I••• BD affiliatedMar 22, 2016 to Feb 15, 2017 · Boston, Ma
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left May 10, 2023, registered May 4, 2023 (-6 days) · Affiliated broker-dealer or bank to another · moved with a team
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 15, 2017, registered Feb 10, 2017 (-5 days) · Other
- W••••• H••••• S•••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-05-04)May 10, 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address