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•••••• W•••••• C•••••••••
- C•••••• W••••• M••••••••• L••••• independent RIA currentsince Feb 12, 2019 · Clearwater, Fl
- H••••• R•••• formerOct 5, 2017 to Apr 30, 2019 · Clearwater, Fl
- R•• C•••••• M••••••• L•• national BDAug 12, 2010 to Oct 10, 2017 · St. Petersburg, Fl
- O••••••••• • C•• I••• BD affiliatedNov 20, 2009 to Jun 4, 2010 · Tampa, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 7, 2009 · St. Petersburg, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 1, 2003 to Jun 1, 2009 · St. Petersburg, Fl
- H••••• R•••• to C•••••• W••••• M••••••••• L•••••left Apr 30, 2019, registered Feb 12, 2019 (-77 days) · RIA to RIA
- R•• C•••••• M••••••• L•• to H••••• R••••left Oct 10, 2017, registered Oct 5, 2017 (-5 days) · Other
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Jun 4, 2010, registered Aug 12, 2010 (69 days) · Other
- M••••• S•••••• to O••••••••• • C•• I•••left Dec 7, 2009, registered Nov 20, 2009 (-17 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address