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.
B•••• S•••• G••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Mar 21, 2016 · Tampa, Fl
- P••••••• W••••• P••••••• formerFeb 8, 2012 to Apr 1, 2016 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 6, 2012 · Clearwater, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 10, 2002 to Jun 1, 2009 · Clearwater, Fl
- P••••••• W••••• P••••••• to I••••••••• F•••••••• P•••••••left Apr 1, 2016, registered Mar 21, 2016 (-11 days) · Other
- M••••• S•••••• to P••••••• W••••• P•••••••left Jan 6, 2012, registered Feb 8, 2012 (33 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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