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.
T••••• G••••• W•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 26, 2013 · Tampa, Fl
- C••••• S••••• S••••••••• •••• L•• formerMay 11, 2011 to Sep 20, 2013 · Tampa, Fl
- N••••••• T•••• S••••••••• I•• BD affiliatedJul 16, 2008 to Dec 31, 2009 · Belleair Bluffs, Fl
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Sep 20, 2013, registered Aug 26, 2013 (-25 days) · Other
- N••••••• T•••• S••••••••• I•• to C••••• S••••• S••••••••• •••• L••left Dec 31, 2009, registered May 11, 2011 (496 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address