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.
A•••••• J••••• K•••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 25, 2015 · Tampa, Fl
- I••••••••• C•••••• O• A••••••• I••• formerJul 14, 2010 to Sep 21, 2015 · Tampa, Fl
- C••• B•••••••• S•••••••• I••• formerDec 5, 2003 to Jul 2, 2010 · Clearwater, Fl
- I••••••••• C•••••• O• A••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 21, 2015, registered Sep 25, 2015 (4 days) · Other · moved with a team
- C••• B•••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jul 2, 2010, registered Jul 14, 2010 (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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address