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••• E••••• D••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Tampa, Fl
- S••••••• I••••••••• I••• formerNov 4, 2016 to Nov 2, 2018 · Tampa, Fl
- G••••• W••••• M••••••••• I••• BD affiliatedJan 12, 2011 to Nov 8, 2016 · Tampa, Fl
- C•••••••• F•••••••• G•••• A••••••• formerFeb 13, 2003 to Dec 31, 2010 · Tampa, Fl
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- G••••• W••••• M••••••••• I••• to S••••••• I••••••••• I•••left Nov 8, 2016, registered Nov 4, 2016 (-4 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to G••••• W••••• M••••••••• I•••left Dec 31, 2010, registered Jan 12, 2011 (12 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address