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•••••• B•••• G•••••
- K••••• A•••••••• I••• BD affiliated currentsince Jul 31, 2019 · Clearwater, Fl
- C•••••• F•••••••• S•••••••• I••• formerFeb 22, 2011 to Jul 29, 2019 · Clearwater, Fl
- I•••••••• C•••••• A••••••• formerJun 16, 2004 to Nov 15, 2010 · Clearwater, Fl
- E•••••• P•••• A••••••• I••• unclassifiedFeb 15, 2001 to Jun 14, 2004 · Clearwater, Fl
- C•••••• F•••••••• S•••••••• I••• to K••••• A•••••••• I•••left Jul 29, 2019, registered Jul 31, 2019 (2 days) · RIA to affiliated broker-dealer or bank
- I•••••••• C•••••• A••••••• to C•••••• F•••••••• S•••••••• I•••left Nov 15, 2010, registered Feb 22, 2011 (99 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Jun 14, 2004, registered Jun 16, 2004 (2 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address