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.
R•••• A••• B•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Scottsdale, Az
- S••••••• I••••••••• I••• formerAug 9, 2017 to Nov 2, 2018 · St. Petersburg, Fl
- T•• S•••••••• F•••••••• A••••••• BD affiliatedJan 15, 2016 to Jul 11, 2017 · Tampa, Fl
- I••••• F•••••••• C••••••••• formerJan 24, 2008 to Jan 4, 2016 · Appleton, Wi
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- T•• S•••••••• F•••••••• A••••••• to S••••••• I••••••••• I•••left Jul 11, 2017, registered Aug 9, 2017 (29 days) · Other
- I••••• F•••••••• C••••••••• to T•• S•••••••• F•••••••• A•••••••left Jan 4, 2016, registered Jan 15, 2016 (11 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address