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•••••• L••••
- P•• W••••• M••••••••• BD affiliated currentsince Dec 10, 2021 · Ocala, Fl
- W•••• F•••• A••••••• wirehouseDec 2, 2021 to Dec 15, 2021 · Gainesville, Fl
- P•• M•••••• A•••••• S••••••••• I••• formerNov 5, 2020 to Aug 23, 2021 · Gainesville, Fl
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Dec 15, 2021, registered Dec 10, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- P•• M•••••• A•••••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 23, 2021, registered Dec 2, 2021 (101 days) · Affiliated broker-dealer or bank to wirehouse
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address