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.
M•••••• S•••••• C•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 28, 2021 to Mar 31, 2025 · Jacksonville, Fl
- S••••• F•••••••• G•••• I•• formerSep 4, 2019 to May 12, 2021 · Tampa, Fl
- G••••• F•••••••• P•••••• C••••••• I••• formerApr 4, 2017 to Jul 8, 2019 · Tampa, Fl
- S••••• F•••••••• G•••• I•• formerApr 25, 2008 to Oct 28, 2008 · Boca Raton, Fl
- B•• M••••• S••••••••• C••••••••• otherJun 15, 2005 to Apr 2, 2008 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 12, 2021, registered Jun 28, 2021 (47 days) · Affiliated broker-dealer or bank to another
- G••••• F•••••••• P•••••• C••••••• I••• to S••••• F•••••••• G•••• I••left Jul 8, 2019, registered Sep 4, 2019 (58 days) · RIA to affiliated broker-dealer or bank
- S••••• F•••••••• G•••• I•• to G••••• F•••••••• P•••••• C••••••• I•••left Oct 28, 2008, registered Apr 4, 2017 (3080 days) · Other
- B•• M••••• S••••••••• C••••••••• to S••••• F•••••••• G•••• I••left Apr 2, 2008, registered Apr 25, 2008 (23 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address