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.
W•••••• R••••••• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 17, 2018 · Rome, Ga
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 11, 2015 to Dec 17, 2018 · Rome, Ga
- U••• F•••••••• P••••••• S••••••• formerJun 5, 2014 to Dec 3, 2014 · Tampa, Fl
- B••••••• W••••• M••••••••• L•• independent RIASep 6, 2013 to May 30, 2014 · Belleair Bluffs, Fl
- B••• I••••••••• S•••••••• I••• formerJun 17, 2010 to May 7, 2012 · Largo, Fl
- E••••• J•••• national BDJul 22, 2009 to Sep 29, 2009 · Treasure Island, Fl
- F•••• L••••• S••••••••• L•• unclassifiedAug 15, 2007 to Jul 20, 2009 · Rome, Ga
- C••• F•••••••• A••••••• formerJul 19, 2004 to Aug 10, 2007 · Rome, Ga
- L•• F•••••••• L•• BD affiliatedMar 13, 2003 to Jul 16, 2004 · Rome, Ga
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Dec 17, 2018, registered Dec 17, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- U••• F•••••••• P••••••• S••••••• to C••••• I••••••••• A••••••• L••left Dec 3, 2014, registered Feb 11, 2015 (70 days) · Other
- B••••••• W••••• M••••••••• L•• to U••• F•••••••• P••••••• S•••••••left May 30, 2014, registered Jun 5, 2014 (6 days) · Other
- B••• I••••••••• S•••••••• I••• to B••••••• W••••• M••••••••• L••left May 7, 2012, registered Sep 6, 2013 (487 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left Sep 29, 2009, registered Jun 17, 2010 (261 days) · Affiliated broker-dealer or bank to a newly registered adviser
- F•••• L••••• S••••••••• L•• to E••••• J••••left Jul 20, 2009, registered Jul 22, 2009 (2 days) · Other
- C••• F•••••••• A••••••• to F•••• L••••• S••••••••• L••left Aug 10, 2007, registered Aug 15, 2007 (5 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• A•••••••left Jul 16, 2004, registered Jul 19, 2004 (3 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address