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.
R••••• D••• C••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 23, 2023 · Gadsden, Al
- C••••• A•••••• N••••••• L•• formerMay 20, 2021 to Feb 24, 2023 · Boca Raton, Fl
- S••••• F•••••••• G•••• I•• formerJan 20, 2021 to May 20, 2021 · Tampa, Fl
- S••••• F•••••••• G•••• I•• formerDec 17, 2009 to Sep 12, 2019 · Tampa, Fl
- C•••••••• F•••••••• G•••• A••••••• formerOct 11, 2006 to Apr 23, 2009 · Tampa, Fl
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Feb 24, 2023, registered Feb 23, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered May 20, 2021 (0 days) · channel change inside one enterprise, not a move · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to S••••• F•••••••• G•••• I••left Apr 23, 2009, registered Dec 17, 2009 (238 days) · Other
- R••••• D••• C•••• left C••••• A•••••• N••••••• L•• for L•• F•••••••• L•• (registered 2023-02-23)Feb 24, 2023 · a•••••• firm change · 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address