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.
H••••• J•• L•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 16, 2018 · Tampa, Fl
- H•••••• J• S••• C•••••• M••••••••• I••• independent RIAJul 9, 2015 to Oct 17, 2018 · Naples, Fl
- R•• C•••••• M••••••• L•• national BDOct 9, 2007 to Aug 5, 2015 · Naples, Fl
- A• G• E•••••• • S•••• I••• unclassifiedApr 1, 1997 to Oct 11, 2007 · Naples, Fl
- H•••••• J• S••• C•••••• M••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 17, 2018, registered Oct 16, 2018 (-1 days) · RIA to affiliated broker-dealer or bank
- R•• C•••••• M••••••• L•• to H•••••• J• S••• C•••••• M••••••••• I•••left Aug 5, 2015, registered Jul 9, 2015 (-27 days) · Affiliated broker-dealer or bank to independent RIA
- A• G• E•••••• • S•••• I••• to R•• C•••••• M••••••• L••left Oct 11, 2007, registered Oct 9, 2007 (-2 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address