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••••• P•••••• W•••
- L••••••• S••••••••• C•••• BD affiliated currentsince Nov 5, 2018 · New Port Richey, Fl
- F•••••••• E••••• S•••••••• I••• formerOct 29, 2010 to Nov 8, 2018 · New Port Richey, Fl
- W••••••• F•••••••• S•••••••• I••• formerApr 15, 2005 to Oct 19, 2010 · Oldsmar, Fl
- E•••••••• A•••••••• L•• national BDAug 9, 2001 to Apr 7, 2005 · Tampa, Fl
- F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••left Nov 8, 2018, registered Nov 5, 2018 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W••••••• F•••••••• S•••••••• I••• to F•••••••• E••••• S•••••••• I•••left Oct 19, 2010, registered Oct 29, 2010 (10 days) · Other
- E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Apr 7, 2005, registered Apr 15, 2005 (8 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