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••••••• institutional currentsince Jul 18, 2017 · Tampa, Fl
- C••••••• A•••••••• L•• formerApr 13, 2007 to Dec 31, 2017 · Tampa, Fl
- W•••• F•••• A••••••• wirehouseFeb 23, 2005 to Jun 14, 2017 · Tampa, Fl
- R•••••• J•••• • A••••••••• I••• national BDJan 28, 2004 to Feb 11, 2005 · St. Petersburg, Fl
- C••••••• A•••••••• L•• to C•••••••left Dec 31, 2017, registered Jul 18, 2017 (-166 days) · Other · moved with a team
- W•••• F•••• A••••••• to C••••••• A•••••••• L••left Jun 14, 2017, registered Apr 13, 2007 (-3715 days) · Other · moved with a team
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Feb 11, 2005, registered Feb 23, 2005 (12 days) · Affiliated broker-dealer or bank to wirehouse
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
- Institutional managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address