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•••••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 17, 2022 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 17, 2015 to Jun 13, 2022 · Tampa, Fl
- J•• C•••••• A•••••••• L•• formerMay 20, 2010 to Aug 17, 2015 · Tampa, Fl
- G•••••••• F••••••••• I•• unclassifiedMar 2, 2009 to Jan 13, 2010 · Tampa, Fl
- O••••••••• • C•• I••• BD affiliatedFeb 15, 2007 to Feb 20, 2009 · Tampa, Fl
- P••••••••• E••••• G••••• L•• unclassifiedJun 14, 1999 to Dec 19, 2002 · Tampa, Fl
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jun 13, 2022, registered Jun 17, 2022 (4 days) · Affiliated broker-dealer or bank to independent RIA
- J•• C•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 17, 2015, registered Aug 17, 2015 (0 days) · Other · moved with a team
- G•••••••• F••••••••• I•• to J•• C•••••• A•••••••• L••left Jan 13, 2010, registered May 20, 2010 (127 days) · Other
- O••••••••• • C•• I••• to G•••••••• F••••••••• I••left Feb 20, 2009, registered Mar 2, 2009 (10 days) · Other
- P••••••••• E••••• G••••• L•• to O••••••••• • C•• I•••left Dec 19, 2002, registered Feb 15, 2007 (1519 days) · Other
- C••••• L•••••• S•••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-06-17)Jun 13, 2022 · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address